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First Midwest Securities

William Brunner, former Broker, Barred by FINRA for Alleged Failure to Cooperate with Investigation into His Possible Unauthorized and Excessive Trades

On April 6, 2018, FINRA announced it barred securities broker William Brunner from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. FINRA announced Brunner’s bar in a Letter of Acceptance, Waiver and Consent (AWC).  The AWC stated FINRA barred Brunner for declining to

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David L. Barber, Expelled Madison Avenue Securities LLC Broker, Accused of Unauthorized Trades

On March 5, 2018, the Financial Industry Regulatory Authority Inc. (FINRA) barred David Lloyd Barber, a former Madison Avenue Securities LLC stock broker, from associating with firms registered with FINRA.  FINRA is the self-regulator of stock brokers and brokerage firms. FINRA reported David Barber’s bar in its Letter of Acceptance, Waiver and Consent (“AWC”) that

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