Articles Posted in Selling Away

Sean Donald Premock – Fort Lauderdale, Florida: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

Leland Otto Stevens – Christiansburg, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Ryan Reaume Riley – Leesburg, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Jimmy Wayne Freeman Jr. – Corpus Christi, Texas: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed…

South Florida Promissory Note Fraud, Misrepresentation, Unregistered Sale of Securities and Unsuitable Investment FINRA Arbitration and Litigation Attorney: A Brief Description of a Promissory Note and How the Scam Works: An investment scam that has been gaining in popularity among fraudsters is the sale of promissory notes, especially to seniors. Unlike many investments today, promissory…