A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for January 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Gardner Cantor Fitzgerald & Co J.P. Morgan Securities LLC Ganesh Iyer…
When a registered FINRA broker dealer employs financial representatives, they have an obligation to supervise their brokers and employees so that they are compliant with both the firm’s rules and with FINRA’s. Broker dealers are required to maintain adequate oversight to ensure that the people who work for them are…
According to FINRA Disciplinary actions for December 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for December 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Omer Ali-Taha BB&T Investment Services, Inc. Citigroup Global Markets Inc. Berkley Badger…
According to FINRA Disciplinary actions for November 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ryan Burneo…
According to FINRA Disciplinary actions for November 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Peter Budd Jr. Benjamin F. Edwards & Company, Inc. UBS Financial Services Inc.…
According to FINRA Disciplinary actions for November 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for October 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Matthew Berman…
According to FINRA Disciplinary actions for October 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Brett Bauer BrokerBank Securities, Inc. CapitalQuest Securities, Inc. Carmine Berardi First…
Daniel O’Neil and Douglas Szempruch, two brokers working for Aegis Capital Corp. (CRD#:15007) in Melville, NY, have faced disciplinary action FINRA after both were separately involved in improper activities. Daniel O’Neil (Daniel James O’Neil CRD#:1358245) is a former registered broker with Aegis, who discharged him on 7/29/2021 for failing to…