Brian Stanley Pearce of Winter Haven Florida a stockbroker formerly registered with FSC Securities Corporation has been fined $5,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Pearce engaged in private securities transactions without getting approval from FSC Securities Corporation. Letter…
Titan Securities a securities broker dealer headquartered in Addison Texas has been censured and fined $20,000.00 by Financial Industry Regulatory Authority (FINRA) based on findings that Titan Securities failed to supervise outside business activities of its stockbrokers. Letter of Acceptance Waiver and Consent No. 2019061705101 (June 8, 2021). According to the AWC, a Titan Securities…
Richard Scott Shelley (also known as Richard Scott Shelly) a stockbroker formerly registered with Packerland Brokerage Services Inc. has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in private securities transactions during the time that he…
Troy Robert Baily of Omaha Nebraska a stockbroker formerly registered with SagePoint Financial has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Baily took part in private sales of Future Income Payments (FIP) while registered with SagePoint Financial….
Jay R. Weiser of Collinsville Illinois a stockbroker formerly employed by DesPain Financial Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Weiser failed to cooperate with FINRA’s investigation into accusations of hm selling promissory notes and securities interests away from…