BLAKE BANCROFT RICHARDS (CRD #4051402) Blake Richards of Buford, Georgia, was charged by the Securities and Exchange Commission (SEC) with violations of the federal securities laws for misappropriating investor funds. In May, the SEC filed an emergency action seeking a temporary restraining order and other emergency relief in federal court against Richards. The SEC’s complaint […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” George Robert Hunt (CRD #2568842, Registered Principal, Sarasota, Florida) was fined $10,000, suspended from association with any FINRA member in any capacity for one year and ordered to pay $63,500, plus interest, in restitution to a customer. Without admitting or […]