Ronald Joseph Giovino Jr. of Clearwater Florida a stockbroker formerly registered with GWN Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he failed to comply with FINRA’s request when he was investigated for conversion of customer funds at GWN Securities. Letter…

Clarence L. McGill of Palm Beach Gardens, Florida, a stockbroker formerly employed by GWN Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA’s requests in an investigation into allegations of McGill’s potential unsuitable investment recommendations…

GWN Securities Inc. is a brokerage firm headquartered in Palm Beach Gardens Florida that has been censured and fined one hundred thousand dollars by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise its unit investment trust business to ensure that customers were provided with discounts when eligible…

William H. Paterson, of Palm Beach Gardens, Florida, a former GWN Securities, Inc. registered representative, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his sales practice violations as alleged within a customer initiated…

GWN Securities, Inc., a brokerage firm headquartered in Palm Beach Gardens, Florida, has been fined $20,000.00 by Florida Office of Financial Regulation based upon consenting to findings that the firm failed to discover that its registered representatives had engaged in outside business activities, utilized advertising materials that had not been approved by firm principals, and…

Ronald E. Harrison, of Palm Beach Gardens, Florida, a stockbroker formerly registered with GWN Securities Inc., had his securities registration in The State of Texas suspended for ninety days based upon allegations that Harrison made an unsuitable investment recommendation to a customer, and effected transactions without having been properly registered with the Texas Securities Commissioner….