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Staff Attorney
Oct 11, 20182 min read
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, 20182 min read
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, 20172 min read
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, 20172 min read
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, 20172 min read
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, 20172 min read
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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