Private Placements2020-02-04T12:15:30-05:00

Cynthia Komarek Barred from The Securities Industry by FINRA for Refusing to Cooperate In Investigation

By |June 17th, 2021|Tags: , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Cynthia Komarek (CRD # 1188714) was recently barred from the securities industry by FINRA’s [...]

Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation

By |June 16th, 2021|Tags: , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Grant C. Birkley (CRD # 2933533) was recently barred from the securities industry by [...]

Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities

By |June 1st, 2021|Tags: , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Bradley Woods & Co. Ltd. (CRD # 13660) was recently sanctioned by [...]

John Lee Scott Barred from Securities Industry After FINRA Investigation Into Private Placements

By |April 30th, 2021|Tags: , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Lee Scott (CRD # 2407610) was recently barred from the securities [...]

Frederick Joseph Rock Suspended by FINRA from Securities Industry for Unapproved Sales of Private Placement Securities

By |April 27th, 2021|Tags: , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Frederick Joseph Rock (CRD # 2548242) was recently suspended from the securities [...]

David Zuber Barred by FINRA From Securities Industry After Investigation of Private Securities Offering

By |April 25th, 2021|Tags: , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, David B. Zuber (CRD # 3239595) was recently barred from the securities [...]

Louis Olave Suspended by FINRA From Securities Industry for Unapproved Sales of Future Income Payments, LLC

By |April 12th, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Louis M. Olave (CRD # 5904834) was recently suspended from the securities [...]

Dalmore Group LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

By |March 23rd, 2021|Tags: , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Dalmore Group LLC (CRD # 136352) was recently sanctioned by FINRA’s Department [...]

Tonya Smoake Suspended by FINRA from Securities Industry For Unapproved Private Securities Sales

By |March 18th, 2021|Tags: , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Tonya Nicole Smoake (CRD # 4985049) was recently suspended from the securities [...]

Richard Shelley Suspended by FINRA from Securities Industry

By |March 8th, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Richard Scott Shelley (CRD # 2671545) was recently suspended from the securities [...]

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