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September 25, 2015 Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
September 22, 2015 FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
September 20, 2015 Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures
September 16, 2015 FINRA Fines, Suspends Tyler Boone Powell for Improper Use of Discretion
September 14, 2015 Marisa Nicole Pickar Suspended for Falsifying Documents, Reusing Customer Signatures
September 10, 2015 Darlene Kay Bandy Barred for Failure to Cooperate with Investigation into Conversion of Funds
September 09, 2015 La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures