| FINRA.org

Award 23-00567.pdf

Award

2023077014001 Integral Wealth Securities LLC fka Amera Securities LLC CRD 36143 AWC gg.pdf

Between April 2021 and February 2025, Integral Wealth Securities failed to timely file with FINRA offering documents related to 18 private placements, in violation of FINRA Rules 5123 and 2010. For these violations, Integral Wealth Securities is censured and fined $20,000.

2023079598001 Daniel Michael Roper CRD 6188279 AWC vr.pdf

From October 2020 through January 2022, Roper engaged in various types of misconduct in connection with a profit-sharing agreement with a Schwab customer. Roper violated FINRA Rules 2150(c) and 2010 by directing the trades in the customer's account for a share of the customer's profits without receiving written authorization from Schwab or the customer.

Regulatory Notice 25-08

FINRA has adopted amendments to exempt business development companies (BDCs) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and Distributions). The amendments maintain the integrity of the public offering process while facilitating vibrant capital markets by expanding access to initial public offerings (IPOs) through a highly regulated entity. The amendments will become effective on July 23, 2025.

WECA

Wealth Equity Certified Advisor (WECA)

Designation Essentials
Status	Currently offered and recognized by the issuing organization
Issuing Organization	The Wealth Equity Certified Advisor Institute
Qualification and Training Requirements
Prerequisites	Candidates must have either a bachelor’s degree or five years of professional experience in the financial services industry.
Designation Training Requirements	Online, self-paced training courses
Designation Exam Type	Online, proctored certification exam
Continuing Education Requirements	20 hours annually
Verification and Complaints
Online Designation Resource	None
Investor Complaint Process	Online at Investor Complaint Portal
Published List of Disciplined Designees	None

Small Firm Briefing: FINRA Forward

23-02476(2).pdf

Amended

Two Sigma Securities, LLC (TSS) Comment On Regulatory Notice 25-07

2023079280501 Eric A. Dupre CRD 2174456 AWC lp.pdf

From September 2022 through February 2023, Dupre borrowed at least $2,236,000 from two customers without providing prior notice to, or obtaining written approval from, his FINRA member firm, in violation of FINRA Rules 3240 and 2010. For these violations, Dupre is barred from associating with any FINRA member in all capacities.

2021069348401 First Southern, LLC CRD 282756 AWC vr.pdf

Since June 30, 2020, First Southern has failed to establish, maintain, and enforce written policies and procedures and a supervisory system reasonably designed to achieve compliance with Regulation Best Interest in violation of Securities Exchange Act Rule 15/-l(a)(l), MSRB Rule G-27, and FINRA Rules 3110 and 2010.

First page
Previous page
…
3
4
5
6
7
8
9
10
11
…
Next page
Last page

Subscribe to