Tag Archives: Corinne Renae Mittag

BancWest Stockbroker Suspended For Unauthorized Trading

October 03, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Corinne Renae Mittag, of Omaha, Nebraska, a stockbroker formerly registered with Bancwest Investment Services, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she effected unauthorized trades, falsely represented her trading activities to her firm, and led her firm’s records and […]

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BancWest Investment Services Stockbroker Charged

April 10, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Corinne Renae Mittag, of Omaha, Nebraska, a stockbroker formerly registered with BancWest Investment Services Inc., has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that she effected an unauthorized transaction in a customer’s account and made false representations to her firm regarding the transaction. Department of Enforcement v. […]

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