Stock Exchange
Posted on Mar 3, 2016
An organized marketplace where members gather to trade securities. Members may act either as agents for customers, or as principals for their own accounts.
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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
- Have a Safe and Happy 4th of July!
- Dan Edward Droeg Transferred over $878,000 From Trust’s Bank Account to His Own Bank Accounts
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