August 4, 2015 Daniel Levin, of Dallas, TX , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…
read moreAugust 4, 2015 Patrick Landon Garrett, of Franklin, TN , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…
read moreAugust 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreApril 2018 Update-Berger pleads guilty to fraud. July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…
read moreJuly 30, 2015 Malcolm Jamal Babin of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreJuly 27, 2015 Michael Jeffrey Talin of Los Alamitos, CA, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreJuly 20, 2015 Andrew Joseph Thomas of Boerne, Texas, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…
read moreJuly 10, 2015- Jose Palacio entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…
read moreJuly 14, 2015-Nokomis, Florida Kelly R. Brantley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…
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