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5 Sep 2018, 6:07 pm
HHSC and Long Term Care Regulatory (LTCR) determined that the topic of feeding assistance required an updated and consolidated communication to providers. [read post]
9 Nov 2021, 6:40 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Melilli from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
5 Feb 2021, 11:33 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Paul Francoeur from the securities industry. [read post]
29 Apr 2021, 10:35 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Constantinos Maniatis from the securities industry for 30 days. [read post]
17 Feb 2021, 8:52 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Paul John Halvorson from the securities industry. [read post]
7 Jan 2021, 7:43 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended Antonio Almeida from associating with any FINRA member in any capacity for three months. [read post]
14 Apr 2021, 12:56 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Hugues Guirand. [read post]
20 Aug 2021, 2:50 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Wright from the securities industry. [read post]
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
17 May 2021, 11:35 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Eric Vici. from the securities industry. [read post]
26 Jan 2021, 8:49 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Tyler Dean Delahunt from the securities industry. [read post]
20 Aug 2021, 2:28 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Debasish Hajra from the securities industry for 30 calendar days. [read post]
16 Aug 2021, 7:05 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Jason Seale from the securities industry for 15 business days. [read post]
11 Jan 2021, 11:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John Frederick Griner from the securities industry for 15-business days and fined him $15,000. [read post]
24 Mar 2021, 7:33 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Mark Larry Delgadillo from the securities industry for one month. [read post]
17 May 2021, 12:00 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Dixon. from the securities industry. [read post]
1 Jul 2021, 3:12 pm
On July 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) and broker Christopher Orlando entered into a Letter of Acceptance, Waiver, and Consent No. 2017056432603 after FINRA alleged that from October 2015 through December 2018, Mr. [read post]
23 May 2023, 4:38 pm
We tinker with it at significant risk.Read the full review of The Profit Motive by @PrawfBainbridge ▸ https://t.co/KLM4Rmm4SR— Commentary Magazine (@Commentary) May 20, 2023 The Profit Motive, a new book, by @PrawfBainbridge @UCLA_Law is an informative, well-organized, and even-handed defense of shareholder value maximization. [read post]
22 Mar 2018, 10:21 am
Effective March 13, 2018, the Financial Industry Regulatory Authority (“FINRA”) imposed an industry bar against former financial advisor Gabriel “Gabe” Block (CRD# 2103543), of Rumson, New Jersey. [read post]
26 Aug 2021, 8:03 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Donald Fowler from the securities industry. [read post]
24 Mar 2021, 6:29 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended Aegis Capital Corp. financial advisor Corey Alexander Johnson from the securities industry for 30-calendar days. [read post]
