March 7, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kaplan was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kaplan consented to the sanction and to the entry of...
March 12, 2018 – An Office of Hearing Officers (OHO) decision became final in which Boykin was barred from association with any FINRA member in all capacities. The sanction was based on findings that Boykin failed to timely respond to FINRA requests for...
March 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Milne was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Milne consented to the sanction and to the entry of...
March 15, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Woods was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Woods consented to the sanctions and to the entry of...
March 19, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Meier was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of...
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