SEC Sanctioned Aegis in Cease and Desist Order On July 28, 2022, Aegis agreed to SEC sanctions in a cease-and-desist order issued as a result...
Another Broker Indefinitely Suspended After Allegations of Securities Rules Violations David Thomas Hixon (CRD# 4707468) has been indefinitely suspended from working as a financial advisor...
The Financial Industry Regulatory Authority (FINRA) sanctioned Former Merrill Lynch Financial Advisor Richard Hogan with a 12 month suspension and a $10k fine. The financial...
Another Broker Barred from Employment After Allegations of Securities Rules Violations Francis Joseph Velten (CRD# 2291911) has been permanently barred from working as a financial...
Another Broker Barred from Employment After Allegations of Securities Rules Violations Adam Thomas Marquardt (CRD# 5307192) has been permanently barred from working as a financial...
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