Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

2023-11-30T12:59:13-05:00November 30th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Clayton, Jr. (CRD # 2598586) was recently suspended from the securities [...]

Gustavo Rodrigo III Suspended from Securities Industry by FINRA for Unauthorized Discretion

2023-09-14T16:50:21-05:00September 14th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gustavo Rodrigo III (CRD # 3031284) was recently suspended from the securities industry by [...]

Anthony Cross Suspended from Securities Industry by FINRA for Unauthorized Discretion

2023-09-12T16:03:18-05:00September 12th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Anthony Cross (CRD # 3155726) was recently suspended from the securities industry [...]

Raymond William Clark Barred from Securities Industry by FINRA After Investigation

2023-08-19T07:57:03-05:00August 19th, 2023|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA), indicate that broker/advisor, Raymond William Clark (CRD # 2865619) was recently barred from the securities [...]

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