A National Securities Arbitration & Investment Fraud Law Firm
Sanders Spangler (CRD #4188542) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Spangler consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into potential…
Joshua Ellis (CRD #5500165) was suspended on March 26, 2018 from associating with any FINRA member firm in all capacities. If Ellis fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on May 31, 2018 from…