Brendon Lyden, a registered representative formerly with UBS Financial Services of Melville, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Michael Kinney of Ham Lake, Minnesota, a registered representative formerly with WFG Investments in Plymouth, MN was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides…
Greg Hilliard, a registered representative formerly with Toussaint Capital Partners in Freehold, NJ was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Patrick Bray, a registered representative formerly with Newbridge Securities in Boca Raton, FL was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Niyukt Bhasin, a registered representative formerly with NSM Securities in West Palm Beach, FL was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a…
Gregg Berger, a registered representative formerly with Newbridge Securities in New York, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Enver Alijaj registered representative formerly with Avenir Financial Group in New York, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
On October 13, 2015 the Securities and Exchange Commission announced that the initial decision of the administrative law judge with respect to Khaled Eldaher was declared effective. The initial decision ordered Khaled Eldaher to cease and desist from committing or causing violations of Section 15(a)(1)of the Exchange Act and also…
Frank Savigne a registered representative formerly with Wells Fargo Advisors in Sarasota, FL was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Jason Mininger a registered representative formerly with Kovack Securities in Rocklin, CA was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered representative…