First Financial Equity

Posts In First Financial Equity

Stephen Whittaker Cited for Undisclosed Outside Business Activity Oct 12
FINRA fined and suspended former First Financial Equity Corporation (Surprise, Arizona) broker ...
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First Financial Equity Corporation Sanctioned for Failing to Timely Disclose Financial Events, Supervisory Deficiencies Jan 02
FINRA censured and fined First Financial Equity Corporation of Scottsdale, Arizona $200,000 for ...
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FINRA Cites First Financial Equity's Compliance Officer, Melissa Strouse, for Failing to Disclose 67 Broker Liens, Judgments & Financial Events Sep 11
Previously disciplined for failing to supervise brokers at First Financial Equity Corporation, ...
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First Financial Equity CCO Melissa Strouse Punished for Suitability, ETF, Heightened Supervision Failures Mar 10
FINRA fined and suspended First Financial Equity Corporation Chief Compliance Officer Melissa Ann ...
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