SunTrust Broker Philip Johnson Sanctioned: FINRA
According to the Financial Industry Regulatory Authority (FINRA), former Tennessee-based SunTrust broker Philip Johnson has signed a letter of Acceptance, Waiver, and Consent (AWC Letter) settling...
View ArticleCharles Woodall Discharged from Firm Following Unsuitability Allegations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Tennessee-based United Planners Services of America a Limited Partner...
View ArticleKevin Farrow Facing Misrepresentation Allegations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based International Assets Advisory broker/adviser Kevin Farrow has...
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