March 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Hanke was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one month. Without admitting or denying the findings,...
March 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Leary was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings,...
March 14, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which McGregor was fined $5,000, suspended from association with any FINRA member in all capacities for four months, and ordered to pay $14,266, plus interest, in restitution to a...
March 16, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Brooks was fined $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. Without admitting or denying the findings, Brooks consented...
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Androulakis was fined $5,000, suspended from association with any FINRA member in all capacities for three months and required to attend and satisfactorily complete 10 hours of...
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