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Did You Lose Money After Your Financial Advisor Said You Could Retire???
Did you quit your job because your financial advisor told you that you had enough money to retire on, and it turned out that your financial advisor was wrong? My law firm may be able to help. One of the main goals of working with a financial advisor is saving for...
read moreFINRA suspends Jonathan Russell Belden (CRD #5955909, Walnut Creek, California)
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 entry...
FINRA suspends Mason Wayne Gann (CRD #4030936, Dallas, Texas)
April 11, 2018 – An AWC was issued in which Gann was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the findings, Gann consented to the sanctions and to the...
FINRA suspends Wolf Alexander Popper (CRD #365826, New York, New York)
April 10, 2018 – An AWC was issued in which Popper was fined $5,000 and suspended from association with any FINRA member in all capacities for 30 days. Without admitting or denying the findings, Popper consented to the sanctions and to the entry of findings that he...
FINRA suspends Philip Marcus Winstead (CRD #2331690, Cary, North Carolina)
April 9, 2018 – An AWC was issued in which Winstead was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Winstead consented to the sanctions and to the...
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...
FINRA suspends Richard Hunt Crockett (CRD #1209667, Huntington, New York)
April 3, 2018 – An AWC was issued in which Crockett was fined $5,000 and suspended from association with any FINRA member in any principal capacity for two months. Without admitting or denying the findings, Crockett consented to the sanctions and to the entry of...