The following information is from FINRA’s website under “Disciplinary Actions, March, 2012:   Scott David Mason (CRD #3270983, Registered Principal, Debary, Florida)   submitted an Offer of Settlement in which he was suspended from association with any FINRA member in any capacity for 18 months and required to requalify by examination prior to associating with […]

On the SEC's website we learn that the Securities and Exchange Commission announced the U.S. Attorney for the District of Massachusetts has charged Andrey C. Hicks of Boston, Mass., in a criminal complaint unsealed on Friday, October 28, 2011. Hicks was charged with committing wire fraud, attempting to commit wire fraud, and aiding and abetting wire fraud, […]