JEFFREY SCHWEBACH Suspended By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it issued Independent Financial Group (“IFG”) broker Jeffrey Schwebach (CRD#: 1606537, Dell Rapids, SD) an 8 month suspension for selling away (engaging in securities transactions outside the scope of the broker’s employment). Notably, Schwebach submitted a Letter of Acceptance, Waiver, and Consent […]

Quest Capital Strategies’ Frank Dietrich Barred For Selling Away Frank Dietrich (CRD#: 2506091, Lake Forest, California), who is a former Quest Capital Strategies securities broker, just got barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) for engaging in private securities transactions, according to a Letter of Acceptance, Waiver and Consent #2018057197801 […]

JERRY DAVIS RAINES (CRD#: 4578689), and   DONNA LYNN BARNARD (Also known as: DONNA LYNN BROOKS, DONNA LYNN STARGELL) CRD#: 5653949, two former brokers from HDVEST INVESTMENT SERVICES of Kilgore, Texas, were barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm on September […]