MARK SCHKLAR (CRD#: 1952816), a former broker with BB&T Securities of Richmond, Virginia, was fined $10,000 by FINRA, and suspended from the industry for eight months beginning 3/20/2017, and ending 11/19/2017. FINRA stated that without admitting or denying the findings, Schklar consented to the sanctions and to the entry of findings that he allegedly participated […]

FINRA Bars Brian Joseph Panfil Brian Joseph Panfil (CRD #4326407, Chicago, Illinois), who was a registered representative of Caldwell International Securities and Ridgeway & Conger, Inc., is now barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Default Decision issued by a […]