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FINRA Fines Broker-Dealers $1.65 Million for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined five bank broker-dealers a total of $1.65 million...
FINRA issues alert about “Phishing” Scam
FINRA recently issued an Alert to warn the public about a recent auction rate securities (ARS) “phishing” scam that promises...
Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in Miami Beach, Florida, barred from FINRA for securities violations.
FINRA recently announced that Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in Miami Beach, Florida, has been barred...
SEC charges Frank Bluestein with securities fraud
The Securities and Exchange Commission recently announced that it had charged Detroit-area stock broker Frank Bluestein, formerly of...
David Michael Piazza fined and suspended from FINRA
FINRA recently announced that David Michael Piazza, formerly of Farmers Financial Solutions, LLC in Montgomery, Illinois, has been fined...
