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Wednesday, October 5, 2022
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Tag: FINRA

Lerner Associates broker sanctioned for risky advice for elderly investors

In April 2021, Lerner disclosed that Kory was no longer employed as a broker because of an arbitration case filed by a customer.

Former NYLife broker sanctioned for ignoring investigators

Investigators were looking at potentially serious misconduct," according to the decision, for "conversion of NYLIfe funds by submitting false expense reports."

FINRA sanctions Mount Vernon securities broker

FINRA says Dmytryshyn received higher commissions than he was entitled to on the 138 trades.

New Rochelle securities broker censured for weak supervision and controls

FINRA says the rules are designed to ensure "high standards of commercial honor and just and equitable principles of trade."

FINRA suspends New Rochelle financial adviser for dodging testimony

Belardino was fired, according to Finra, because a customer complained that he had engaged in excessive trading, misrepresented the values of the customer's accounts, and failed to comply with requests to liquidate the accounts and distribute the proceeds.

Former investment banker Bernard Beal ordered to pay $726K arbitration award

Former employee Jacob Alpert accused Beal of not paying his bonuses for two years.

Gabelli and mutual fund executive fight over proper arbitration forum on...

The Gabelli company claims that James Scanlon is sidestepping an agreement in a “blatant attempt to avoid FINRA as a forum.”

Fidelity sues former Scarsdale financial consultant

Fidelity believes the only way Nicholas Ruiz could have known how to contact former customers was by using the secret customer data.

HCC receives $100K grant for financial literacy program

The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association awarded a $100,000 grant to the Housatonic Community College Library, the Bridgeport school announced Feb. 25.

Legal champions of Fairfield County

From corporate law to trusts and estates, Fairfield County has no shortage of outstanding legal counsel – including these standouts.

Pierpont to merge with Va. broker-dealer

Pierpont Securities is merging with Richmond, Va.-based Cortview Capital, with both companies operating as broker-dealers for fixed-income investments.

Connecticut sanctions broker-dealer

State regulators say a Weston man bilked partners in a small hedge fund he ran.
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