Petty Offenses
Posted on May 9, 2018
A federal misdemeanor punishable by six months or less in prison.
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- Luke Michael Johnson, Scottsdale, AZ, named in FINRA Complaint for Unsuitable Investment Recommendations to Customers
- Todd Ray Anderson of Tucson Arizona Suspended from FINRA because of Unnecessary Sales Charges
- Steven M. Netzel of Gilbert Arizona Suspended from FINRA for FOUR Months
- William Edward Torrriente Jr. Barred from FINRA
- Have a Safe and Happy 4th of July!
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