Tag Archives: Richard Anthony McCollam

National Planning Broker Suspended For Hiding Complaints

May 25, 2017  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs   |   0 Comments

Richard Anthony McCollam, of Lafayette, California, a stockbroker formerly registered with National Planning Corporation, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to a FINRA Office of Hearing Officers’ Hearing Panel Decision containing findings that he failed to disclose customer complaints as required […]

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