Calvin Edward Moores, of Brea, California, a stockbroker formerly registered with Independent Financial Group, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to correspond with FINRA staff in reference to information about Moores’ business activities. Letter No. 2015047356601 (Mar. 7, […]
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Tag Archives: ndependent Financial Group LLC
Independent Financial Group Stockbroker Barred
June 13, 2017 | Posted by : Guiliano Law Group | Elder Financial Abuse, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments