James Brett Stuart of Castle Rock, Colorado, a stockbroker previously registered with Richfield Orion International Inc., was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to create and implement a supervisory system designed to comply with securities laws and FINRA rules; he failed to supervise stockbrokers’…
James Brett Stuart, of Castle Rock, Colorado, a stockbroker and securities principal registered with Richfield Orion International Inc., is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Stuart based upon allegations that Stuart failed to supervise certain representatives to ensure suitability…
Charles Ronald Baker (also known as Ron Baker) of Lubbock, Texas, a stockbroker formerly registered with Richfield Orion International Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Baker did not cooperate with the regulator regarding its investigation into his possible unsuitable and…