Investors reportedly complained about securities broker Christopher Thomas Brothers (also known as Chris Brothers) [CRD: 2186156, Fort Lauderdale, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Brothers joined Maxim Group LLC on November 18, 2009. See the following information to find out more about the disclosures related to Brothers and the […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” William Howard Coons (CRD #2049465, Registered Supervisor, West Hartford, Connecticut) was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without admitting or denying the findings, Coons consented to the described sanctions […]