In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Emily Pena of San Antonio, Texas and formerly associated with New York Life Securities in San Antonio submitted a letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Matthew Levitt of Santa Monica, CA and formerly associated with Equinox Securities in Redlands, CA submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Kenneth Hornyak of Traverse City, MI and formerly associated with Stifel Nicholas submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Dylan Grayson of Plano, Texas and formerly associated with Merrill Lynch submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Vikas Goel of Chino Hills, CA and associated with Newport Coast Securities submitted a letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Jonah Engler of New York, NY and formerly associated with Global Arena Capital submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Malcolm Babin of Gonzales, Louisiana, and formerly associated with PFS Investments in Baton Rouge submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Jeffrey Auerbach of New York, NY, and formerly associated with Vfinance Investments submitted a letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member inany capacity for 90 days.…
Eddie Sitton, a registered representative formerly with several broker dealers in Scottdale and Tempe 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…
Tiffany Peacock Asakawa, a registered representative formerly with Merrill Lynch in Kailua Kona, HI 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…