Securities Arbitration Lawyers BlogFormer New York-based Morgan Stanley Broker Under Investigation After Being Permanently Barred by FINRA
Silver Law Group is investigating former New York, New York-based broker William V. Siegel (CRD# 4407213) after FINRA permanently barred Siegel from selling securities to the public.
According to Siegel’s FINRA BrokerCheck report, the Financial Industry Regulatory Authority (“FINRA”) suspended Siegel in April 2016 after he failed to comply with an arbitration award or settlement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance with either.
FINRA suspended Siegel despite permanently barring him in October 2015 for failing to respond to a FINRA request for information.