Staff AttorneyDec 5, 20172 minFINRA Brings Complaint against Ameritas Broker Thomas Lawrence for Personal Loan with Elderly CustomUpdate: Without admitting or denying the allegations, Lawrence consented to the sanctions (two year suspension) and to the entry of...
Staff AttorneyNov 28, 20172 minFormer Oppenheimer Broker Jason Likens Disciplined for Borrowing from Elderly CustomerThe Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Jason Hunter Likens...