March 20 , 2015-Montgomery, Texas Christopher Alan Taylor entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…
read moreIn March 2015, Daniel Gregory Retzke entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that during the course of an investigation…
read moreMarch 6, 2015 Vanguard Marketing Corporation entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between January 2011 through December 2013,…
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 moreMarch 19, 2015 – Connecticut Andre Paul Young entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from June 2010 to June…
read moreMarch 16, 2015 Share Financial Services and its President and Chief Compliance Officer Charles Major entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA)…
read moreMarch 5, 2015 The Buffalo News reports that Gregory W. Gray, Jr. of Buffalo, New York, recently charged by the SEC for operating a ponzi-like scheme, was arrested at his…
read moreMarch 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over $10 billion of assets and 250 financial advisors. They become a part of the Cetera…
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