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Recover your losses in Infinity Q Diversified Alpha Fund (IQNDX/IQDAX)
Did you or a family member invest in Infinity Q Diversified Alpha Fund (IQNDX/IQDAX) based on the recommendation of your stockbroker or investment adviser? Our law firm, Epperson & Greenidge, represents investors in Infinity Q. We are working with Infinity Q...
read moreFINRA 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...
FINRA bars David Warren Olson (CRD #1700644, Largo, Florida)
March 28, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Olson was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Olson consented to the sanction and to the entry of findings...
FINRA bars Paul Eric Taboada (CRD #2033981, Old Brookville, New York)
March 30, 2018 – The Securities and Exchange Commission (SEC) dismissed Taboada’s application for review. Taboada was barred from association with any FINRA member in all capacities. The National Adjudicatory Council (NAC) had previously affirmed the findings and...
FINRA suspends Choosri Lao (CRD #4439433, Tinley Park, Illinois)
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lao 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, Lao...