March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Blattner was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. Without admitting or denying the...
March 22, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Tibbetts was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the...
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Bazan was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the...
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Beeby was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for eight months and ordered to pay deferred disgorgement of...
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kreindler was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the...
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Shah was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings,...
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