Coral Gables, Florida According to FINRA records, James P. Scullin , a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…
read moreUPDATE August 2016–Joseph Connolly Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreMARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE August 2016–William Gennity Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- NYC The Financial Industry…
read moreMarch 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016. In addition Hancock was…
read moreAugust 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
read moreAugust 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
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