The following summation of information is from FINRA's website under "Disciplinary and Other Actions, May, 2014." Robert Christian Acri (CRD #1429736, Winnetka, Illinois) was barred by FINRA for his alleged involvement in the sale of alternative investments. These alternative investments included promissory notes which had defaulted. According to FINRA, they had requested information and documents […]

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 […]