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Tag: New York securities fraud attorney

Blog, Securities Fraud Articles

July 29, 2013

NY Broker Indicted on Securities Fraud and Grand Larceny

According to the Daily News, New York broker Ronen Zakai was indicted on securities fraud and grand larceny for stealing approximately...

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Blog, Securities Fraud Articles

November 25, 2012

New York Investment Advisory Firm sanctioned by SEC.

The Securities and Exchange Commission (the “SEC”) recently sanctioned an investment advisory firm for impeding examinations conducted...

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Blog, Securities Fraud Articles

October 19, 2012

FINRA expels New York based broker dealer.

The Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled EKN Financial Services, Inc. of Melville, NY,...

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Blog, Securities Fraud Articles

October 1, 2012

RBC Capital Markets Corporation nka RBC Capital Markets, LLC fined by FINRA

RBC Capital Markets Corporation nka RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance,...

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