Securities Law2020-02-04T12:57:57-05:00

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

By |June 26th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

By |June 24th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, McDonald Partners LLC (CRD # 135414) was recently sanctioned by FINRA’s Department [...]

Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

By |June 22nd, 2022|Tags: , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Torch Securities, LLC (CRD # 133642) was recently sanctioned by FINRA’s Department [...]

Berthel, Fisher & Co. Financial Services, Inc. Sanctioned by FINRA for Failure to Perform Due Diligence

By |June 21st, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Berthel, Fisher & Co. Financial Services, Inc. (CRD # 13609) was recently [...]

Charles Baker Barred from Securities Industry by FINRA After Investigation

By |June 16th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

By |June 15th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

By |June 14th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Ian Phillip Lowrey (CRD # 6367392) was recently suspended from the securities [...]

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By |June 13th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

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