Newsroom category: Securities News

The Financial Industry Regulatory Authority (FINRA) has permanently barred Harry Harper Warnick (CRD# 6916323) from associating with any FINRA member firm in any capacity. The action follows allegations that Warnick failed to cooperate with a FINRA investigation into possible undisclosed business and securities activities while registered with Spartan Capital Securities, LLC in New York, NY. […]

Linda Lucille Sokol Francis (CRD# 811073), a former investment adviser and broker based in Brookfield, Illinois, has been permanently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). This enforcement action followed her refusal to cooperate with a FINRA investigation into her use of discretion in customer accounts without written authorization. The […]

William Charles Burks II (CRD# 2944992), a Flower Mound, Texas-based investment advisor affiliated with Centaurus Financial, Inc., has been suspended by the Financial Industry Regulatory Authority (FINRA). The disciplinary action stems from allegations that Burks recommended high-risk, illiquid investments to clients whose financial goals and risk profiles did not support such strategies This investor alert […]