Stock Broker

Florida broker Christopher George Orlando has been permanently barred by the Financial Industry Regulatory Authority (“FINRA”) for excessive trading in customer accounts. As a result of the excessive…

Broker Nathan Gersteen Katz of Belleair, Florida has accepted a ban from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) because he failed to provide information…

FINRA has permanently barred former Wells Fargo Advisors broker Scott. W. Reed for convincing his customers to invest millions in a private software company without the firm’s approval,…

Former Ameriprise Financial broker Angel W. Bardeche was recently fined and suspended by the Financial Industry Regulatory Authority (“FINRA”) for alleged generating around $450,000 in commissions from unsuitable…

The Financial Industry Regulatory Authority (“FINRA”) recently fined and suspended former New Jersey-based broker Manish H. Shah relating to loans he took out from clients. According to FINRA,…

A former Merrill Lynch and Morgan Stanley broker has been barred from the securities industry by the Financial Industry Regulatory Authority for failing to provide information regarding his…