December 5, 2017

Update: Without admitting or denying the allegations, Lawrence consented to the sanctions (two year suspension) and to the entry of findings that he and his wife asked a customer for a personal loan in violation of FINRA rules and regulations.

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Thomas Lawrence (Law...

November 28, 2017

The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Jason Hunter Likens (Likens) (FINRA No. 2016049871601). The underlying basis of the enforcement action concerned allegations Likens borrowed funds from two customers, including an elderly client, without disclosing the loans to his em...

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