April 26, 2018 – An AWC was issued in which Traywick was fined $5,000, suspended from association with any FINRA member in all capacities for three months and ordered to pay $10,000, plus interest, in disgorgement of a portion of commissions received. Without...
April 18, 2018 – An AWC was issued in which Parker was fined $7,500 and suspended from association with any FINRA member in all capacities for one month. Without admitting or denying the findings, Parker consented to the sanctions and to the entry of findings...
April 17, 2018 – An AWC was issued in which Galinsky was fined $7,500 and suspended from association with any FINRA member in all capacities for 10 business days. Without admitting or denying the findings, Galinsky consented to the sanctions and to the entry of...
April 16, 2018 – An OHO decision became final in which McCollam was fined $10,000 and suspended from association with any FINRA member in all capacities for nine months. McCollam initially appealed the decision to the NAC but later withdrew the appeal, and the...
April 12, 2018 – An AWC was issued in which Belden was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 60 days. Without admitting or denying the findings, Belden consented to the sanctions and to the...
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