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Disciplinary and Other FINRA Actions Firm Suspended, Individual Sanctioned Aura Financial Services, Inc (CRD® #42822, Birmingham, Alabama) and Timothy Michael Gautney (CRD #[removed], Registered Principal, Birmingham, Ala
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Document Date: 2013-04-11 16:04:41

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Company

Seton Securities Group Inc. / Network 1 Financial Securities Inc. / Red Bank / Coburn & Meredith Inc. / Mark Boyar & Company Inc. / Barrett & Company / Firms Fined Assent LLC / AAFs / Individual Sanctioned Aura Financial Services Inc / UIT / Esposito Securities LLC / National Financial Services LLC / UBS Securities LLC / Tocqueville Securities L.P. / CastleOak Securities LP / OFG Financial Services Inc. / Bala Cynwyd / UBS Financial Services Inc. / Stifel Nicolaus & Company Incorporated / Olympus Securities LLC / Kildare Capital Inc. / Citadel Securities LLC / AMEX / Individuals Sanctioned Biremis Corp. / Ryan Beck & Co. / Penson Financial Services Inc. / Collins Stewart LLC / Sanford C. Bernstein & Co LLC / /

Country

Canada / /

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USD / /

Event

Person Communication and Meetings / /

Facility

NASD/NASDAQ Trade Reporting Facility / FINRA/NASDAQ Trade Reporting Facility / OTC Reporting Facility / Trade Reporting Facility / /

IndustryTerm

electronic communications / email communications / forward communications / /

Organization

FINRA / Municipal Securities Rulemaking Board / Securities and Exchange Commission / NASD / /

Person

Elizabeth Coburn Derway / Timothy Michael Gautney / Bloomfield / Peter Beck / /

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broker / senior officer / officer / representative / analyst / registered representative / dealer / controller / /

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UITs / /

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Texas / Kansas / New Jersey / Alabama / Illinois / New York / Connecticut / Missouri / Pennsylvania / Rhode Island / Massachusetts / /

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