dpepperson, Author at Epperson & Greenidge LLP

FINRA suspends Richard Hunt Crockett (CRD #1209667, Huntington, New York)

by dpepperson | Jul 3, 2018 | Uncategorized

April 3, 2018 – An AWC was issued in which Crockett was fined $5,000 and suspended from association with any FINRA member in any principal capacity for two months. Without admitting or denying the findings, Crockett consented to the sanctions and to the entry of...

FINRA suspends Jeffery Allen Fanning (CRD #1566859, Cheyenne, Wyoming)

by dpepperson | Jul 3, 2018 | Uncategorized

April 2, 2018 – An Offer of Settlement was issued in which Fanning was fined $20,000, suspended from association with any FINRA member in all capacities for six months and immediately following, suspended from association with any FINRA member in any principal...

Can You Appeal a FINRA Arbitration Decision?

by dpepperson | Jul 2, 2018 | Uncategorized

FINRA arbitration is designed to help investors get compensation for the financial harm they suffered from financial negligence, trade churning, or other harmful investment or sales practices. Sometimes, evidentiary issues or problems with legal interpretations...

FINRA bars Craig Eugene Walker (CRD #5427440, Madison, Mississippi)

by dpepperson | Jun 27, 2018 | Uncategorized

Craig Eugene Walker (CRD #5427440, Madison, Mississippi) April 30, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Walker was barred from association with any FINRA member in all capacities. Without admitting or denying the findings,...

FINRA bars Vincent Santoro (CRD #3006826, Lake Mary, Florida)

by dpepperson | Jun 27, 2018 | Uncategorized

Vincent Santoro (CRD #3006826, Lake Mary, Florida) April 30, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Santoro was barred from association with any FINRA member in all capacities. Without admitting or denying the findings,...

« Older Entries

Next Entries »

FINRA suspends Richard Hunt Crockett (CRD #1209667, Huntington, New York)

FINRA suspends Jeffery Allen Fanning (CRD #1566859, Cheyenne, Wyoming)

Can You Appeal a FINRA Arbitration Decision?

FINRA bars Craig Eugene Walker (CRD #5427440, Madison, Mississippi)

FINRA bars Vincent Santoro (CRD #3006826, Lake Mary, Florida)

Search

Recent Posts

Recent Comments

Archives

Categories

Meta