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Recent Posts

FINRA suspends Brent Van Lott (CRD #1559744, Orem, Utah)

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...

Can You Appeal a FINRA Arbitration Decision?

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 might...

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

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, Walker...

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

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, Santoro...