Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account
The Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...
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Staff Attorney
- Jun 30, 2018
- 2 min
Financial Advisor James Edward Lyons Barred for Failing to Cooperate with FINRA Investigation
Former Raymond James financial advisor, James Edward Lyons (Lyons), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Dec 4, 2017
- 2 min
FINRA Brings Complaint against Meyers Associates Broker Craig Langweiler for Potential Financial Mis
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Craig Gary Langweiler (Langweiler) in connection...
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Staff Attorney
- Nov 22, 2017
- 2 min
Former Merrill Lynch Broker Blake King Barred for Failing to Cooperate with Investigation involving
Merrill Lynch financial advisor, Blake P. King (King), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
- Feb 18, 2017
- 2 min
Former Wells Fargo Broker Robert Batchen Suspended for Unauthorized and Unsuitable Trades in Custome
The Financial Industry Regulatory Authority (FINRA) recently announced Robert James Batchen (Batchen) entered into a Letter of...
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Staff Attorney
- Feb 2, 2017
- 2 min
FINRA Brings Complaint against National Securities Corporation Broker Glenn McDowell for Unauthorize
On October 28, 2016, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Glenn McDowell (McDowell) in...
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