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…
On October 15, 2015 the Securities and Exchange Commission issued an Order instituting administrative proceedings pursuant to section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisors Act of 1940 against Jason Muskey. The complaint against Jason Muskey arises from his guilty plea to…
On October 16, 2015 the Securities and Exchange Commission issued an Order instituting administrative proceedings pursuant to section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisors Act of 1940 against Fred McMenimen. McMenimen was employed as a registered representative at Pruco Securities in…
On October 27, 2015 the Securities and Exchange Commission issued an Order instituting administrative proceedings pursuant to section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisors Act of 1940 against John D’Auria. On July 13, 2015, D’Auria pled guilty to one count of…
On November 2, 2015 the Securities and Exchange Commission issued an Order instituting administrative proceedings pursuant to section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisors Act of 1940 against Jonathan Warren Brooks. Brooks is currently incarcerated in Kershaw, South Carolina. He was…
On October 30, 2015 in the Southern District of Ohio The Securities and Exchange Commission filed an enforcement action against William Apostelos and his companies WMA Enterprises, LLC, Midwest Green Resources, and OVO Wealth Management. The complaint alleged that Willlaim Apostelos and his companies conducted a fraudulent investment scheme. The…