A National Securities Arbitration & Investment Fraud Law Firm
Patrick McGrath and Aaron Parthemer: Separate FINRA complaints for similar violations In two separate FINRA disciplinary actions, two South Florida investment brokers were found to have made loans to, or borrowed funds from, their firm’s customers without permission. Generally, brokerage firms prohibit stockbrokers from asking clients for personal loans or…
According to FINRA Disciplinary actions for May 2015, 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 Jinesh Pravin Brahmbhatt Success Trade Securities, Inc. LPL Financial Corporation Patrick Ryan…