David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

2021-04-29T10:18:13-05:00April 29th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Scott Fergang (CRD # 1758758) was recently suspended from the securities [...]

American Independent Securities Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of CMO’s

2021-05-02T20:32:01-05:00April 3rd, 2021|Markets and Products, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, American Independent Securities Group, LLC (CRD # 135288) was recently sanctioned by [...]

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