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In April 2021, Lerner disclosed that Kory was no longer employed as a broker because of an arbitration case filed by a customer.
Investigators were looking at potentially serious misconduct," according to the decision, for "conversion of NYLIfe funds by submitting false expense reports."
FINRA says the rules are designed to ensure "high standards of commercial honor and just and equitable principles of trade."
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 employee Jacob Alpert accused Beal of not paying his bonuses for two years.
The Gabelli company claims that James Scanlon is sidestepping an agreement in a “blatant attempt to avoid FINRA as a forum.”
Fidelity believes the only way Nicholas Ruiz could have known how to contact former customers was by using the secret customer data.
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.