Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Sunday, January 11, 2015

FINRA Expels John Thomas Financial & Bars Tommy Belesis

Going Public LawyerOn January 9, 2015, The Financial Industry Regulatory Authority (FINRA) announced that a hearing panel expelled John Thomas Financial, and barred its Chief Executive Officer, Anastasios Tommy or Thomas ) Belesis, from the securities industry for violations in connection with the sale of penny stock issuer, America West Resources, Inc. (AWSR) common stock, including trading ahead of customers orders, recordkeeping violations,... Read MoreGoing Public Lawyer

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