April 2, 2018 – An Offer of Settlement was issued in which Fanning was fined $20,000, suspended from association with any FINRA member in all capacities for six months and immediately following, suspended from association with any FINRA member in any principal...
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...
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,...
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,...
Richard Gomez (CRD #4727721, Jackson Heights, New York) April 30, 2018 – A National Adjudicatory Council (NAC) decision became final in which Gomez was barred from association with any FINRA member in all capacities. The NAC modified the sanctions and findings...
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