March 9, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ozeren was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for three months, and ordered to pay $9,388, plus interest, in...
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Bradley was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 45 days. Without admitting or denying the findings,...
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Estrada 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,...
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Hurtgen was fined $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Hurtgen consented to...
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lyons was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any principal capacity for three months. Without admitting or denying the...
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