July 13, 2015 Ingrid Bachelor entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…
read moreJuly 10, 2015-Dallas, TX Joseph C. Schroeder 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…
read moreJune 22, 2015 Tyler Powell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion in a…
read moreUPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer. Our Original Post–March 6, 2015, Fair Oaks Ranch, Texas Barry S. Brower, entered into a Letter of…
read moreJune 1, 2015-San Miguel de Allende, Mexico Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…
read moreApril 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…
read moreMarch 19, 2015- San Antonio, Texas Joseph DiRago, Jr. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2011…
read moreMarch 17, 2015 Armen Bahadourian entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in late 2012, while registered with…
read moreWoodcliff Lake, New Jersey UPDATE MAY 2017–According to FINRA records, Jason Kronick was permanently barred by FINRA who found that he willfully failed to disclose a material fact on a…
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