Tag Archives: David William Locy’

Brookstone Stockbroker Suspended By Regulator

October 16, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David William Locy, of Lakeland, Florida, a stockbroker formerly registered with Brookstone Securities, Inc., was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he did not provide FINRA with information concerning his compliance with obligations to pay compensatory damages to a customer pursuant […]

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