Tag Archives: Melissa Ann Strouse

First Financial Stockbroker Investigated For Failure to Supervise

September 13, 2019  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Melissa Ann Strouse of Scottsdale Arizona a stockbroker formerly registered with First Financial Equity Corporation is the subject of a Financial Industry Regulatory Authority (FINRA) investigation in which FINRA indicated that its Department of Enforcement should pursue disciplinary action against the stockbroker for possible supervisory failures and other violations of FINRA and National Association of […]

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