FINRA recently announced that Richard Albert Seefried, a financial advisor in Spokane, Washington currently registered with GVC Capital, LLC, has been suspended from association with any FINRA member in any capacity for three months. The suspension is effective from April 19, 2010 through July 18, 2010. Without admitting or denying the allegations, Seefried [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA [...]
FINRA recently announced that Vincent Joseph Farrugia, Jr. of Lawrenceville , Georgia (formerly a financial advisor with Next Financial Group, Inc.) has been fined $15,000 and suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the findings, Farrugia consented to the described sanctions and to the [...]
FINRA recently announced that Robyn Lynn O’Hara, formerly of WFG Investments, Inc. in Snellville, George, has been barred from FINRA for securities violations. Without admitting or denying the findings, O’Hara consented to the findings that she engaged in multiple trades in customers’ accounts at her member firms without the customers’ authorization and consent. [...]
According to a recent FINRA announcement, Stephanie Murch Haggerty, formerly of Register Financial Associates, Inc. in Atlanta, Georgia, has been fined $10,000 and suspended from associating with any FINRA member firm for 30 days. Without admitting or denying the findings, Haggerty consented to the findings that she did not have the required Series 86 or [...]
The Atlanta Business Chronicle recently touted J.P. Turner & Company, LLC as one of Atlanta ’s Top 10 Brokerage Firms. The survey, which ranked firms by the number of brokers in Atlanta, positions J.P. Turner alongside industry leaders like Morgan Stanley Smith Barney, UBS Financial Services, Edward Jones and Raymond James Financial.
The article in [...]