March 15, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Woods was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Woods consented to the sanctions and to the entry of...
March 19, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Meier was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of...
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Basralian was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Basralian consented to the sanction and to the entry...
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Cochran was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Cochran consented to the sanction and to the entry of...
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...
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