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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 moreWhy Properly Ranking Your Arbitrators is Important in FINRA Arbitrations
When you seek arbitration through FINRA, there are no judges or juries involved like in a court case. Instead, an arbitrator or a panel of arbitrators decide your case. In a trial, you rarely get any say in choosing the judge, but you and your attorney are allowed...
FINRA suspends Don Wade Traywick (CRD #2410109, San Clemente, California)
April 26, 2018 – An AWC was issued in which Traywick was fined $5,000, suspended from association with any FINRA member in all capacities for three months and ordered to pay $10,000, plus interest, in disgorgement of a portion of commissions received. Without...
FINRA suspends Walter Warren Parker (CRD #2131232, Wylie, Texas)
April 18, 2018 – An AWC was issued in which Parker was fined $7,500 and suspended from association with any FINRA member in all capacities for one month. Without admitting or denying the findings, Parker consented to the sanctions and to the entry of findings that he...
FINRA suspends John Scot Galinsky (CRD #1513926, Lemont, Illinois)
April 17, 2018 – An AWC was issued in which Galinsky was fined $7,500 and suspended from association with any FINRA member in all capacities for 10 business days. Without admitting or denying the findings, Galinsky consented to the sanctions and to the entry of...
FINRA suspends Richard Anthony McCollam (CRD #1419048, Lafayette, California)
April 16, 2018 – An OHO decision became final in which McCollam was fined $10,000 and suspended from association with any FINRA member in all capacities for nine months. McCollam initially appealed the decision to the NAC but later withdrew the appeal, and the NAC...
FINRA 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...