James Gabriel Collard, of Boerne, Texas, was fined $5,000.00 and suspended by Financial Industry Regulatory Authority (FINRA) in connection with an Order Accepting Offer of Settlement containing findings that Collard charged customers’ excessive markups on investments. Department of Market Regulation v. James Gabriel Collard, No. 20120342425-01 (Sept. 23, 2016). According to the Order, between February…
Further Lane Securities, L.P., stockbroker James Gabriel Collard, and Chief Executive Officer Joseph Michal Araiz, all of Boerne, Texas, were named in a Complaint containing allegations of excessive markups pertaining to corporate bond transactions and related supervisory failures. Department of Enforcement v. Collard et al., No. 20120342425-01-01- (Mar. 11, 2016). Further. according to the Complaint,…