Tag Archives: Harbor Lights Securities LLC

FINRA Sanctions Harbor Lights Stockbroker For Failure To Pay Award

Christopher Lee Goslin of Tampa Florida a stockbroker formerly registered with Harbor Lights Securities LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that Goslin failed to comply with his obligation to pay a FINRA Arbitration Award to two customers who suffered losses because […]

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Harbor Light Securities Stockbroker Suspended By FINRA

November 28, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Christopher Lee Goslin, of Tampa, Florida, a stockbroker formerly registered with Harbor Lights Securities, LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he engaged in unapproved outside business activities. Letter of Acceptance, Waiver and Consent, No. 2014040343701 (Sept. […]

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