Tag Archives: James Otis Conaway

USA Financial Broker Fined For Outside Business Activities

James Otis Conaway of Tustin California a stockbroker formerly employed by USA Financial Securities Corporation has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unapproved outside business activities and failed to be forthcoming […]

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