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Tag: New York securities fraud attorney

Blog, Securities Fraud

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

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

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

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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