Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Independent Financial Group, LLC (CRD # 7717) was recently sanctioned by FINRA’s [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Serge Parakhnevich (CRD # 5493064) was recently suspended from the securities industry [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement recently brought disciplinary proceedings against broker-dealer Cabot Lodge Securities [...]
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, [...]
