July 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 moreRichardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records. Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…
read moreGarrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator
September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…
read moreSeptember 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making misleading sales pitches and account churning at the…
read moreAugust 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar on Financial…
read moreJune 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…
read moreJuly 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…
read moreAugust 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…
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