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Corporate Property Associates 18 – Global Incorporated (CPA:18 Global)
Have you lost money due to your purchase of shares in Corporate Property Associates 18 – Global Incorporated (CPA:18 Global) or are you unable to sell your stake in this investment? CPA:18 Global is a non-traded REIT that, per its SEC filings, “invest[s] primarily in...
read moreFINRA suspends Omer Ozeren (CRD #6171522, Chatsworth, California)
March 9, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ozeren was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for three months, and ordered to pay $9,388, plus interest, in...
FINRA suspends Douglas Fairchild Bradley (CRD #2850255, La Jolla, California)
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Bradley was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 45 days. Without admitting or denying the findings, Bradley...
FINRA suspends Ricardo Alfredo Estrada (CRD #4130208, Coral Gables, Florida)
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Estrada 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,...
FINRA suspends Michael Murphy Hurtgen (CRD #1742647, Englewood, Colorado)
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Hurtgen was fined $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Hurtgen consented to the...
FINRA suspends William Bernard Lyons (CRD #1521283, Middletown, New Jersey)
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lyons was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any principal capacity for three months. Without admitting or denying the...
FINRA suspends Michael Douglas Hanke (CRD #3158013, Tampa, Florida)
March 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Hanke was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one month. Without admitting or denying the findings, Hanke...