In a March, 2012, article for InvestmentNews.com, Dan Jamieson writes that industry observers are wondering why the Financial Industry Regulatory Authority Inc. (FINRA)has issued a proposal to disclose licensing exam scores on its BrokerCheck system. Finra has requested comments regarding disclosing more through the disciplinary reporting system, including exam scores, broker termination information and more historical data. Jamieson […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Paul Cragg Larsen (CRD #1066833, Registered Representative, Naples, Florida) and   Quentin Marius Silic (CRD #4222363, Registered Representative, Naples, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which they were each barred from association with any FINRA member in […]