April 9, 2018 – An Offer of Settlement was issued in which Lott was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for four months. Without admitting or denying the allegations, Lott consented to the...
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...
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...
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...
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,...
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,...
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