J.W. Cole Financial, Inc. Sanctioned by FINRA For Failure to Supervise Sales of LJM Preservation & Growth Fund

2021-03-31T19:19:48-05:00March 31st, 2021|Improper Mutual Fund Sales Practices, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, J.W. Cole Financial, Inc. (CRD # 124583) was recently sanctioned by FINRA’s [...]

FINRA Files Disciplinary Proceedings Against Mercer Hicks, III for Unsuitable Recommendations to Seniors

2020-03-19T21:01:17-05:00March 17th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/adviser Mercer Hicks, [...]

Stock Broker Fraud: Daniel Gordon Maughan Sanctioned for Excessive Trading and Unsuitable Recommendations

2020-02-11T17:13:43-05:00December 19th, 2019|FINRA - Broker Actions, Securities Law|

Daniel Gordon Maughan, Registered Rep Formerly with Financial West Group Has Disciplinary Proceedings Brought Against Him by FINRA for Excessive Trading and Unsuitable Recommendations in Customer [...]

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