Tag: South Florida
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...
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...
FINRA Fines Citigroup, UBS and Deutsche Bank $425,000
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, UBS Securities and...
Dermot A. Graham barred from FINRA for securities violations.
FINRA recently announced that Dermot A. Graham, formerly of PFS Investments, Inc. in Pompano Beach, Florida, has been barred from...
Gary Gross and Axiom: Boca investment fraud
Boca investment fraud case involving Gary Gross formerly of Axiom Capital Management spotlights need to be vigilant As reported in the Sun...
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...
