Aviv Hen, a registered representative formerly with Obsidian Financial Group in Woodbury, 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…
Stephen DeGroat, a registered representative formerly with Matrix Capital 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…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Cory Don Williams of Monckton, MD, and formerly associated with Signator Investors submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member. Without admitting or denying the findings, Williams consented…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Jack Scherbert of Sparks, NV and formerly associated with Wells Fargo Advisors submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member firm in any capacity. Without admitting or denying…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Mark Quimby of Palm Harbor, FL, submitted a letter of Acceptance, Waiver and Consent in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for three months. Without…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Francesco Puccio of Webster, New York, 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 the findings, Francesco Puccio consented to the…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Glenn Moffitt of Henderson NV, and formerly with LPL Financial, First Allied Securities and Cambridge Investment Research, all of Las Vegas, NV, submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any…
In a FINRA disciplinary proceeding against former Newport Coast Securities broker Marc Arena, FINRA made the following findings as to Arena in deciding to accept his offer of settlement. That from September 2008 through May 2013 Newport Coast Securities failed to prevent five of its registered representatives (Douglas Leone, David…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Daniel Levin of Dallas, Texas submitted a letter of Acceptance, Waiver and Consent in which he was assessed a deferred fine of $25,000, suspended from association with any FINRA member in any capacity for six months and required to…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Barry Hartman of Missoula Montana, formerly with FSC Securities 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 the findings, Hartman consented…