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Recent Posts

FINRA bars Michael Giokas (CRD #1398674, Clarence, New York)

March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Giokas was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Giokas consented to the sanction and to the entry of findings...

FINRA bars Cody Michael Rock (CRD #6443924, Highlands Ranch, Colorado)

March 26, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Rock was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Rock consented to the sanction and to the entry of findings that...

FINRA bars Sanders Lane Spangler (CRD #4188542, San Antonio, Texas)

March 26, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Spangler was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Spangler consented to the sanction and to the entry of...

FINRA bars Matthew Singer (CRD #4972708, Aventura, Florida)

March 27, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Singer was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Singer consented to the sanction and to the entry of findings...