Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

2023-11-30T12:59:13-05:00November 30th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Clayton, Jr. (CRD # 2598586) was recently suspended from the securities [...]

Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

2022-12-12T12:35:01-05:00December 12th, 2022|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mirsad Muharemovic (CRD # 3122589) was recently suspended from the securities industry [...]

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

2022-12-09T15:32:03-05:00December 9th, 2022|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

2022-12-06T14:46:06-05:00May 1st, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Kevin David Barton (CRD # 2542056) was recently suspended from the securities [...]

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