A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for October 2015, 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 Bennett Scott…
Numerous allegations and failure to respond to FINRA requests drive decision After 10 years in the securities industry, Paul Posillico has been permanently barred from practicing as a financial broker or investment advisor. During his ten years of buying and selling securities on behalf of customers and providing advice about…
The firm, as well as its president and CCO, are charged with alleged churning, excessive trading and unsuitable recommendations Equinox Securities, as well as President Steven Michael Oliveira and CCO Chris Blaine Palkowitsch, were all charged by the FINRA Department of Enforcement in a specific complaint about allegations of excessive…
Claims of omission, misrepresentation and wrongful use of client funds follow alleged losses totaling over $5M Chestnut Exploration Partners and broker Mark A. Plummer were recently named in a FINRA disciplinary action that alleges omissions and material misrepresentations were made in the sale of private placement securities contracts to 88…
Allegations include elder financial fraud, misappropriation of funds and unsuitable recommendations Michael Talin, a former broker associated with Woodbury Financial Services, has been barred from the securities industry by FINRA after failing to cooperate with agency investigators. An investigation was launched after customers alleged that he misappropriated and converted more…
NY Life Securities LLC terminates broker, files U-5 with allegations of commingling client funds FINRA recently brought enforcement action against Jonathan Williams that led to a bar from the securities industry. Williams was accused of failing to provide FINRA staff with documents and information requested by the agency in an…
Are enough funds being allocated to stop individuals who are preying on US consumers? In 2010, in response to the economic and financial crisis of 2008, the Dodd-Frank Act was put into place to pay individuals who provided original information or materials that led to enforcement action. Whistleblower offices were opened,…
According to FINRA Disciplinary actions for November 2015, 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 Enver Rahman Alijaj Avenir Financial Group Legend Securities, Inc. Christopher R. Barber …
According to FINRA Disciplinary actions for November 2015, 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: NAME FORMER EMPLOYERS Antonio Ambrosio…
According to FINRA Disciplinary actions for November 2015, 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 Arnold Baratz…