Tag: New York
Buffalo, New York Securities Fraud / Broker Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
Michael Lewis Axel barred from FINRA for violations
FINRA recently announced that Michael Lewis Axel, formerly of Tripp & Co., Inc. in New York City , has been barred from association...
BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) fined and censured by FINRA
FINRA (formerly the NASD) recently announced that BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) was censured and...
Francine Ann Lanaia, of Alexander Capital suspended by FINRA
FINRA recently announced that Francine Ann Lanaia, of Alexander Capital, L.P. in Fort Salanga, New York, has been fined $5,000 and...
Reynold Frank Vaughan III suspended from FINRA for securities violations.
Reynold Frank Vaughan III suspended from FINRA for four months for securities violations. Without admitting or denying the findings,...
Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, fined and suspended by FINRA for securities violations.
According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, was really fined $5,000...
