Matthew Leon White was barred from association with any FINRA member

Matthew Leon White was barred from association with any FINRA member

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FARMER, PADGETT and TAYLOR Sanctioned by FINRA

FARMER, PADGETT and TAYLOR Sanctioned by FINRA

The Office of Hearing Officers made a final decision in FINRA Case #2017053382401 on October 9, 2019. To read more about the Individuals Sanctioned visit here, page 22....

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FARMER, PADGETT and TAYLOR named in FINRA Complaint Alleging Undisclosed and Unapproved Outside Business Activity

FARMER, PADGETT and TAYLOR named in FINRA Complaint Alleging Undisclosed and Unapproved Outside Business Activity

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Daniel K. Kittner of Queen Creek, Arizona Fined and Suspended by FINRA

Daniel K. Kittner of Queen Creek, Arizona Fined and Suspended by FINRA

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Robert Charles Torcivia Suspended and Fined by FINRA for Improper Fiduciary and Beneficiary Designations

Robert Charles Torcivia Suspended and Fined by FINRA for Improper Fiduciary and Beneficiary Designations

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Tu Ngoc Le of Phoenix, Arizona Violates FINRA Rules

Tu Ngoc Le of Phoenix, Arizona Violates FINRA Rules

FINRA charges Tu Ngoc Le illegally converted $6,404 from a 64 year old customer to pay personal expenses including his mortgage, auto mobile loan and insurance, and home utility bills.

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