Category: Selling Away
Erez Law is investigating claims regarding Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania). Evangelista recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2012035327601. From November … Continue reading
Erez Law is investigating claims regarding Donald L. Bratten (CRD #1904756, North Platte, Nebraska). Bratten recently submitted an AWC in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity … Continue reading
Erez Law is investigating claims regarding Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas) submitted an AWC in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for nine … Continue reading
Erez Law is investigating claims regarding Aon Douglas Miller (CRD #3083225, Chattanooga, Tennessee). Miller recently was names as a respondent in a FINRA complaint alleging that he participated in private securities transactions with various entities in which four of his … Continue reading
Erez Law is investigating claims regarding Jeffrey Brian Meyer (CRD #4111125, Lake in the Hills, IL), who has been named a respondent in a FINRA complaint alleging that he acted outside the scope of his employment with his member firms … Continue reading
Erez Law is investigating claims regarding Jay John Soojian (CRD #2768599, Wayne, New Jersey). Soojian recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was barred from association with any FINRA member in any capacity. … Continue reading
Erez Law is investigating claims regarding Thomas Blair Johnston (CRD #4375657, Victoria, Minnesota). Johnson recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of $5,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding James “Jeb” Bashaw (CRD #1251491, Houston, Texas). Bashaw was registered with LPL Financial LLC in Houston from November 2001 until his termination in September 2014. Investment News reports that Bashaw was terminated for several … Continue reading
Erez Law is investigating claims regarding Mark Steven Garrison (CRD #1939534, Easley, South Carolina), also known as Steve Garrison. Garrison recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of … Continue reading
Erez Law is investigating claims regarding Claus Christoph Foerster (CRD #1912949, Spartanburg, South Carolina). Foerster recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he permanently was barred from association with any FINRA member firm. See … Continue reading