Walter Charles Bish, a Macon, Georgia-based stockbroker with Smith Brown Groover Inc., consented to sanctions imposed by Financial Industry Regulatory Authority (FINRA) on November 6, 2024. From July 2014 to February 2018, Bish recommended a trading strategy involving a non-traditional, volatility-linked exchange-traded note (ETN) without fully understanding its features or risks. Letter of Acceptance, Waiver,…
Tim Davidson Hemingway of Macon, Georgia, a stockbroker registered with Smith Brown Groover Inc., has been sanctioned by Financial Industry Regulatory Authority (FINRA) for his unsuitable recommendation of a high-risk investment strategy. On November 6, 2024, FINRA concluded its action through Letter of Acceptance, Waiver, and Consent (AWC) No. 2019063352402. Without admitting or denying the findings,…