William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

2022-02-10T09:08:57-05:00February 10th, 2022|Churning, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

2021-08-22T07:02:35-05:00August 21st, 2021|Fraud, Securities Law|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/investment advisor, Matthew O. Clason (CRD # [...]

Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

2021-08-12T19:52:14-05:00August 12th, 2021|FINRA - Broker Actions, Markets and Products|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that now former broker/investment adviser, Matthew Alexander Perry (Alex Perry) (CRD # 5985300) was recently [...]

Walter Allen Barred from Securities Industry by FINRA After Refusing to Cooperate In Unauthorized Discretion Investigation

2022-02-01T21:58:20-05:00August 9th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Walter Morrow Allen (CRD # 1344149) was recently barred from the securities industry [...]

Eugene McAdams Barred from Securities Industry by FINRA After Suitability Investigation

2021-08-05T10:57:55-05:00August 5th, 2021|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Eugene McAdams (CRD # 4190211) was recently barred from the securities industry by [...]

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