Category: FINRA Disciplinary Action Articles
Erez Law is investigating claims regarding Jason Price Lamb (CRD #3248356, Hermitage, Tennessee). Lamb recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $10,000 and suspended from association with any FINRA member in … Continue reading
Erez Law is investigating claims regarding Nancy Sue Hogan (CRD #3170359, Jeffersonville, Indiana). Hogan recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which she was barred from association with any FINRA member in any capacity. See … Continue reading
Erez Law is investigating claims regarding Jeffrey Brian Meyer (CRD #4111125, Lake in the Hills, IL), who has been named a respondent in a FINRA complaint alleging that he acted outside the scope of his employment with his member firms … Continue reading
Erez Law is investigating claims involving Center Street Securities and GWG Renewable Secured Debentures. Center Street Securities, Inc. (CRD #26898, Nashville, Tennessee) submitted an AWC in which the firm was censured; fined $100,000, which includes disgorgement of approximately $27,000; and … Continue reading
Erez Law is investigating claims regarding Jay John Soojian (CRD #2768599, Wayne, New Jersey). Soojian recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was barred from association with any FINRA member in any capacity. … Continue reading
Erez Law is investigating claims regarding Thomas Blair Johnston (CRD #4375657, Victoria, Minnesota). Johnson recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of $5,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding Reginald Maurice Berthiaume Jr. (CRD #2702903, Orlando, Florida) , also known as Reggie Berthiaume. Berthiaume recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine … Continue reading
Erez Law is investigating claims regarding Mark Steven Garrison (CRD #1939534, Easley, South Carolina), also known as Steve Garrison. Garrison recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of … Continue reading
Erez Law is investigating claims regarding Claus Christoph Foerster (CRD #1912949, Spartanburg, South Carolina). Foerster recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he permanently was barred from association with any FINRA member firm. See … Continue reading
Erez Law is investigating claims regarding Ann Maria Ferrao (CRD #4481123, Miami, Florida). Ferrao recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which she was barred from association with any FINRA member in any capacity. See … Continue reading