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Fraud Forum

The Investor's Watchdog

Tuesday, April 18, 2017 FINRA Accepts Former NPB Financial Group Registered Representative’s AWC in Response to Allegations of Securities Industry Violations Author: Jason T. Albin

John Oldham, a former registered representative associated with NPB Financial Group, LLC, entered into a Letter of Acceptance, Waiver and Consent (AWC) on March 22, 2017 with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations that he violated securities industry rules. According to the AWC, Oldham facilitated the sales of approximately […]