The Texas Securities Commissioner recently issued a Cease and Desist Order against Graco Commercial Capital, LLC and Raymond V. Grant for allegedly selling fraudulent investments in a bank…
Read More
Kelvin Ramirez, 25, recently pleaded guilty to defrauding investors via social media, where he promised high rates of return and low to no-risk in a foreign exchange investment…
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…
G1 Execution Services LLC (“G1”) recently agreed to a censure and $575,000 fine by the Financial Industry Regulatory Authority (“FINRA”) relating to failure to use best executive practices…
Broker Marc Romeyn Lippman of Washington, D.C., recently agreed to a bar by the Financial Industry Regulatory Authority (“FINRA”) relating to false testimony he provided to FINRA relating…
