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FINRA Disciplinary Actions For April 2020 Names Registered Individuals Barred For Failure To Provide Information
8 May 2020, 9:36 am by Silver Law Group
  Paul Ross   Hantz Financial Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Disciplinary Actions For February 2020 Names Registered Individuals Suspended For Failure To Provide Information
21 May 2020, 6:40 am by Silver Law Group
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Belesis, George   Portfolio Advisors Alliance, LLC   John Thomas Financial   Berghausen, Joseph   ADP Broker-Dealer, Inc   Cetera… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2021
28 May 2021, 6:56 am by Silver Law Group
  Hector Mejia   ADP Broker-Dealer, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2021
28 May 2021, 1:27 pm by Silver Law Group
  Hector Mejia   ADP Broker-Dealer, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Blog Post: Larson’s Workers’ Compensation Law Case Spotlights (Fall 2023)
2 Jan 2024, 10:01 am by Robin E. Kobayashi
For example, are securities broker-dealers employees of the investment firm or are they independent contractors? [read post]
Legal Insights Blog - https://www.lexisnexis.com/community/insights/legal/