December 2016-Denver, Colorado Brokerage firm Mid Atlantic Capital was ordered to pay a married couple $922,000 by a FINRA arbitration panel for damages they suffered to their brokerage account as…
read moreDecember 2016-Dallas, Texas Wesley Michael Woodyard, 65, pleaded guilty to one count of wire fraud in connection with a $4.6 million fraudulent scheme involving Ace European Insurance Company (ACE). According…
read moreDecember 2016 Wells Fargo was censured and fined $1,000,000 by the Financial Industry Regulatory Authority over its lack of supervision related to the preparation and dissemination of consolidated reports showing…
read moreDecember 2016-Georgetown, Texas The FINRA records of Michael Ramon Delao, a stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…
read moreDecember 2016-Hunt Valley, MD The FINRA records of John Scott Simpson, a stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…
read moreDecember 2016-Davie, FL The FINRA records of Mark B. Beloyan, a stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…
read moreSeptember 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…
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