A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Todd Kalish Park Edge Advisors, LLC McDonald Partners LLC Nicolas Lumermann …
According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for September 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for September 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Dwayne Bullen Primary Capital LLC Joseph Stone Capital, LLC James Flynn …
According to FINRA Disciplinary actions for September 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Robin Auguste…
Boca Raton-based National Securities Corporation (NSC) has announced that it is closing its doors after 75 years. The recent announcement came after the firm filed termination papers with FINRA. The company’s representatives and advisors are now part of the company that began buying National Securities, B. Riley Wealth Management. Although…
According to FINRA Disciplinary actions for Aug 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrew Edenbaum Allliance Global Partners National Securities Corporation Keith Esp Vanderbilt…
According to FINRA Disciplinary actions for Aug 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Teresa Gomez…
According to FINRA Disciplinary actions for Aug 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for June 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…