The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Joseph Audia (also known as Joseph Scott Audia) [CRD: 2909761, Hauppauge, NY]. Not only has FINRA sanctioned Audia for failure to supervise, but investors complained about the securities broker. However, Joseph Audia denies the allegations. Read on to learn more about the allegations […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Mark Christopher Hotton (CRD #2346843, Registered Principal, West Islip, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Hotton consented to the described sanction and to the entry of […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Mark Christopher Hotton (CRD #2346843, Registered Principal, West Islip, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Hotton consented to the described sanction and to the entry of […]