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 AttorneySep 2, 20182 minFormer Sigma Broker Kevin Looser Disciplined for Private Securities TransactionsKevin Edward Looser (Looser), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
Staff AttorneyJan 2, 20182 minForest Securities Broker David Apted Disciplined for Private Securities TransactionsDavid Apted (Apted), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which...
Staff AttorneyDec 27, 20172 minFormer LP Broker Terrence Diehl Disciplined for Private Securities TransactionsTerrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...