The following list was obtained on FINRA's "Disciplinary and Other Actions, June, 2014."
The following are the Firms Suspended for "Failure to Supply Financial Information Pursuant to FINRA Rule 9552" (According to FINRA, the date the suspension began is listed after the entry. If the suspension has been lifted, the date follows the suspension date.)
1st Bridgehouse Securities, LLC (CRD #44655) Miami, Florida (April 9, 2014)
Mosaic Capital Securities, LLC (CRD #106637)Sherman Oaks, California (April 16, 2014) FINRA Case #20140408279/FPI140002
N. Hahn & Co., Inc. (CRD #46942) New York, New York (April 24, 2014)
Western Pacific Securities, Inc. (CRD #26354) Fresno, California (April 9, 2014)
This ends the list provided on FINRA's website.
If you or a family member have had significant financial losses because of your broker or financial advisor's recommendations, call a Securities Arbitration Lawyer for a complimentary consultation at 888-760-6552. Soreide Law Group represents our clients nationwide before FINRA.
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