John Carter Braddock, of Salida, Colorado, a stockbroker formerly registered with Lakeridge Capital Inc., has been suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he misrepresented and omitted information relating to private placements during the time that he was registered with Lakeridge…
James Francis O’Reilly of Port Jefferson New York a stockbroker formerly registered with TOR Brokerage LLC and Eastgate Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he refused to testify about accusations of his possible outside business activities and private securities…