Author: D. Daxton White
Investigation of UBS financial advisor Eduardo Sordo
We are investigating a possible securities fraud claim on behalf of an investor involving investment recommendations made by former UBS...
Andrew Mark Ruby Barred from Securities Industry
FINRA recently announced that Andrew Mark Ruby, a former Morgan Stanley financial advisor in Hartsdale, New york, has been barred from...
Drumond Ricardo Roby barred from securities industry
FINRA recently announced that former H&R Block Financial Advisor Drumond Ricardo Roby has been barred from association with any FINRA...
Alvin Charles Ramsey, Proequities Barred from securities industry.
FINRA recently announced that Alvin Charles Ramsey, formerly a registered representative with Proequities, Inc. (a FINRA registered...
Charles James Moni fined and suspended from FINRA
FINRA recently announced that Charles James Moni, a financial advisor formerly registered with Jesup & Lamont Securities Corp, a FINRA...
Harold Sheldon Minsky fined and suspended by FINRA
FINRA recently announced that Harold Sheldon Minsky, a financial advisor with J.H. Darbie & Co., Inc., has been fined $10,000 and...