Staff AttorneyOct 12, 20182 minFinancial Advisor Alex Herrera Barred for Outside Business Activities and Private TransactionsFormer UBS financial advisor, Alex Gerardo Herrera (Herrera), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyOct 11, 20181 minFormer Broker Robert White Suspended for Accepting Gifts from CustomerRobert Edward White (White) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
Staff AttorneyOct 11, 20182 minFinancial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s AccountThe Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...
Staff AttorneyOct 9, 20182 minFinancial Advisor Clarence McGill Barred for Unsuitable Investment Recommendations to CustomersFormer GWN Securities financial advisor, Clarence L McGill (McGill), recently settled allegations with the Financial Industry Regulatory...