Ivan Shore Investigation November 2021- New York, NY According to his FINRA record Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreUPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…
read moreNew York According to FINRA records, Humbert B. Powell, III , a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreOn February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica…
read moreDecember 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…
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