March 26, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Spangler was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Spangler consented to the sanction and to the entry of...
March 27, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Singer was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Singer consented to the sanction and to the entry of...
March 28, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Olson was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Olson consented to the sanction and to the entry of...
March 30, 2018 – The Securities and Exchange Commission (SEC) dismissed Taboada’s application for review. Taboada was barred from association with any FINRA member in all capacities. The National Adjudicatory Council (NAC) had previously affirmed the...
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lao was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Lao...
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