July 13, 2015- Lantana, Florida Ingrid M. Batchelor , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged…
read moreJuly 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…
read moreJuly 15, 2015- Jeffrey Howard Auerbach , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…
read moreJuly 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
read moreJuly 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…
read moreFirst Southwest Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…
read moreNovember 6, 2015- Sherman, Texas The FBI announced that Frank Edwin Pate, 47, of Bonham, Texas, was sentenced to 210 months in prison for operating a currency trading scheme. He…
read moreNovember 5, 2015- Orlando, Florida The FBI announced that Brian Newton , age 58, of New Smyrna Beach, FL, was sentenced to 15 years and 8 months and his co-defendant…
read moreNovember 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…
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