Marc William Evans (CRD #859585, Tulsa, Oklahoma) was fined $10,000, suspended by FINRA for 13 months and ordered to pay $56,572, plus interest, in disgorgement of commission. The sanctions take into account the suspension and fine the Oklahoma Department of Securities imposed against Marc Evans. Allegedly Evans participated in private securities transactions for selling compensation […]

James Emory Poe (CRD #5085362, Benbrook, Texas) was assessed a deferred fine of $775,000, which included the disgorgement of financial benefits received of $686,230, plus interest, and was suspended by FINRA for two years for alleged failure to provide prior written notice to or receive written approval from his member firm regarding his roles with […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. William Cecil Babb III (CRD #1276193, Registered Representative, Cary, North Carolina) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. William Cecil Babb III (CRD #1276193, Registered Representative, Cary, North Carolina) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, […]