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Recent Posts

FINRA suspends Craig Dean Blattner (CRD #1590301, Longwood, Florida)

March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Blattner was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. Without admitting or denying the...

FINRA suspends Frank Bazan (CRD #5593113, Houston, Texas)

March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Bazan was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings,...

FINRA suspends Paul Kreindler (CRD #275334, New York, New York)

March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kreindler was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings,...

FINRA suspends Rahim Shah (CRD #6482164, Plano, Texas)

March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Shah was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings, Shah...