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

2021-04-25T17:33:08-05:00April 25th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

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 [...]

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

2021-03-23T17:23:31-05:00March 23rd, 2021|Markets and Products, Private Placements, Securities Law|

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 [...]

Gary Hammond Barred from the Securities Industry by FINRA Over Private Placement Offerings

2021-01-22T14:22:57-05:00January 22nd, 2021|FINRA - Broker Actions, Fraud, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Gary Hammond (CRD # 2660432) was recently barred from the securities industry [...]

The SEC Revokes the Registration of Investment Advisory Firm Temenos Investment Advisory, Inc.

2020-07-30T12:49:26-05:00July 30th, 2020|Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, Temenos Advisory, Inc. (CRD [...]

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