Corey White Barred from All Principal Capacities by FINRA for Failure to Supervise Unsuitable and Excessive Trading

2021-03-22T16:12:42-05:00March 22nd, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser and former Chief Compliance Officer Corey Andrew White (CRD # 4537015) was [...]

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

2021-03-18T16:54:47-05:00March 18th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

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 [...]

Brett Briggs Barred from the Securities Industry for Failure to Supervise by FINRA

2021-03-26T10:30:35-05:00December 22nd, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker/adviser Brett Briggs (CRD # 1226255) was recently barred from the securities [...]

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