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Articles Posted in AWC

Fred Brown (CRD#: 1175385), a 32-year veteran of the securities industry whose career spans 9 firms, has been suspended by FINRA, the Financial Industry Regulatory Authority. Based in Alabama, Brown was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691). According to his BrokerCheck report, accessed on July 25, 2019, “Without […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 18, 2019 list 15 brokers and/or investment advisers reported as subject to FINRA sanctions suspending them in that month. The individuals named below have signed letters of Acceptance, Waiver and Consent (AWC Letters) consenting to these disciplinary actions, though they […]

Public records provided by FINRA and accessed on March 18, 2019 list 10 investment representatives who were reported in March 2019 as sanctioned by FINRA and barred from association with FINRA member firms. The brokers and/or investment advisers listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection with these sanctions, […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 list 10 brokers and/or investment advisers reported as having received suspensions from association with FINRA member firms in February 2019. The investment professionals included below have signed letters of Acceptance, Waiver and Consent (AWC Letters) consenting to FINRA’s sanctions; […]

Publicly available records provided by FINRA and accessed on March 17, 2019 list 10 investment representatives who were reported in February 2019 as subject to disciplinary actions barring them from association with FINRA member firms. The individuals listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions; […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 list more than one dozen brokers and/or investment advisers reported as having received suspensions from association with FINRA member firms in January 2019. The individuals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing […]

Publicly available records published by FINRA and accessed on March 17, 2019 list more than 20 investment representatives who were reported in January 2019 as barred from associating with Financial Industry Regulatory Authority member firms. The individuals listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions, […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2019 list more than a dozen brokers and/or investment advisers reported in December 2018 as suspended from association with FINRA member firms. The financial professionals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to the […]

Publicly available records published by FINRA and accessed on January 18, 2018 list more than a dozen investment representatives who were reported in December 2018 as barred from associating with Financial Industry Regulatory Authority member firms. The brokers enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2018 indicate that FINRA reported over 15 brokers and/or investment advisers in November, 2018 as suspended from association with its member firms. The investment professionals documented below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s […]

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