Darren C. Goodrich (CRD #4213469, Manhattan Beach, California) was fined $10,000 and suspended by FINRA for 30 days because on behalf of certain clients, Goodrich allegedly sold certain shares of an issuer whose securities were not registered and were not subject to an applicable exemption from registration. FINRA's findings stated that Goodrich’s clients allegedly deposited […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Charles Tuttle Mason aka Chip Mason (CRD #2206257, Registered Principal, St. Pete Beach, Florida) and Darren Duane Gibson (CRD #2311950, Registered Representative,Oceanside, California) were each fined $5,000 and suspended from association with any FINRA member in any capacity for three […]