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...
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Murphy was fined $5,000, suspended from association with any FINRA member in all capacities for one month and required to attend and satisfactory complete 10 hours of continuing...
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Villa was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 18 months. Without admitting or denying the findings,...
March 6, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Scambia was assessed a deferred fine of $5,000, suspended from association with any FINRA member firm in a Financial and Operations Principal (FinOp) capacity for 20 business...
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