When you work with a stockbroker, it may seem like you put your money in their care and hope for the best. In reality, you have a lot of control over your investment portfolio, and your stockbroker needs to inform you of the work they do on your account and...
Fraud and investment scams are always a risk in the financial field. There are specific, problematic scams like Ponzi schemes, but there are more subtle scams and fraudulent practices that may cause financial distress even for savvy investors. New...
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ralby was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ralby consented to the sanction and to the entry of...
March 5, 2018 – An Office of Hearing Officers (OHO) decision became final in which Rodriguez-Stern was barred from association with any FINRA member in all capacities. The sanction was based on findings that Rodriguez-Stern failed to provide information and...
March 6, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Barber was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of...
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