Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

2022-06-22T13:34:38-05:00June 22nd, 2022|Markets and Products, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Torch Securities, LLC (CRD # 133642) was recently sanctioned by FINRA’s Department [...]

Dennis James Murphy Barred from the Securities Industry by FINRA after Investigation

2020-05-20T12:16:48-05:00May 20th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Dennis James Murphy (CRD # 4840274) was recently barred from the securities [...]

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