The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida)   submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately […]

Former Ameriprise broker, Jason May (CRD# 4255401), in Delray Beach and Boynton Beach, Florida, has been barred for life by FINRA for failing to respond to FINRA requests for information after he was suspended for 60 days.   Our investigation has uncovered that Mr. May may have encouraged his clients to take out loans through a […]

In a November 16th., 2011, Sun-Sentinnel article, Donna Gehrke-White writes that a Ft. Lauderdale brokerage was fined $20,000, a Plantation broker was suspended for two years and a Coral Springs man was barred from working with any brokerage, according to November's report on disciplinary action taken by FINRA, the private regulatory agency that oversee securities companies. Newbridge […]