Category: FINRA Disciplinary Action Articles
Erez Law is investigating claims regarding Mark Jon Slocum (CRD #4303671, St. Paul, Minnesota). Slocum recently submitted an AWC in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity … Continue reading
Erez Law is investigating claims regarding Jeffrey Donald Noard (CRD #1983392, Menomonee Falls, Wisconsin). Noard recently was named a respondent in a FINRA complaint alleging that in June 2012 he made an unsuitable recommendation for investments in a GwG Renewable … Continue reading
Erez Law is investigating claims regarding Arque Capital, Ltd. (CRD #121192, Scottsdale, AZ) and sales of GWG Renewable Secured Debentures. Arque Capital recently submitted an AWC in which the firm was censured and fined $50,000. See FINRA Case #2012033994701. FINRA … Continue reading
Erez Law is investigating claims regarding Jo Ellen Fisher (CRD #3047985, Gallipolis, Ohio). Fisher recently submitted an Offer of Settlement in which she was barred from association with any FINRA member in any capacity. See FINRA Case #2014041208401. Fisher was … Continue reading
Erez Law is investigating claims regarding Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas) submitted an AWC in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for nine … Continue reading
Erez Law is investigating claims regarding Peter Michael Terlecky III (CRD #2301793, Grand Island, New York), who has been named a respondent in a FINRA complaint alleging that he circumvented his member firm’s supervisory and compliance procedures by concealing and … Continue reading
Erez Law is investigating claims regarding Jon “Larry” Cox (CRD # 2073950, Knoxville, TN), who has been named a respondent in a FINRA complaint charging he failed to respond to FINRA requests for information following his termination from employment with … Continue reading
Erez Law is investigating claims regarding Aon Douglas Miller (CRD #3083225, Chattanooga, Tennessee). Miller recently was names as a respondent in a FINRA complaint alleging that he participated in private securities transactions with various entities in which four of his … Continue reading
FINRA recently announced that it has fined Citigroup Global Markets, Inc. $15 million for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff, and for permitting one of its analysts … Continue reading
Erez Law is investigating claims regarding Jose Fernando Lozano (CRD #5619625, Miami, Florida). Lozano recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $5,000 and suspended from association with any FINRA member in … Continue reading