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Fraud Forum

The Investor's Watchdog

Tuesday, August 1, 2017 CEO of Ohio Brokerage Firm Barred from FINRA while Serving FINRA-Enforced Suspension Author: Jason T. Albin

On July 5, 2017, Thomas Brenner, Jr., formerly a general securities representative and Chief Executive Officer at First American Securities, Inc. (FAS) in Orrville, Ohio, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations of securities industry rules violations. According to the […]