Tag: securities arbitration
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...
Jorge Gerardo Pereira suspended from FINRA
Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida, suspended from FINRA and fined $5,000. Without...
Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton, Pennsylvania, barred from FINRA for various securities violations.
Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton, Pennsylvania, barred from FINRA. Without admitting or denying the...
Matthew D. Weitzman, formerly of AFW Wealth Advisors, investigated by SEC.
On August 19, 2009, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section...
Michael A. Atkins barred from securities industry.
On August 19, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of...
Marc Steven Broder barred from FINRA
According to FINRA, Marc Steven Broder was recently barred from FINRA and from associating with any FINRA member firm. The sanction was...
