Securities Arbitration Lawyers BlogFINRA Revokes Individuals Licenses for Failing to Comply with FINRA Rules in December 2015
According to FINRA Disciplinary actions for December 2015, the following individuals were revoked from FINRA for failing to pay fines and/or costs pursuant to FINRA rules:
|
NAME |
FORMER EMPLOYERS |
| Richard Dwayne Blair | Wealth Solutions, Inc. |
| IMS Securities, Inc. | |
| Eul Hyung Choi | SH Investment & Securities |
| Hanmi Asset Securities, Inc. | |
| Gary Mark Giblen | R.F. Lafferty & Co., Inc. |
| Petersen Investments, Inc. | |
| Clavin Burchard Grigsby | Securities Capital Brokerage, Inc. |
| Grigsby & Associates, Inc. |
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