This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
Thank you so very much for your guidance, patience, and expertise.
This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the nineteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the fourteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the eighth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the sixth of a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the third of a series of posts to discuss the rules associated with the FINRA disciplinary process.
A 46-year industry veteran from Braintree, Massachusetts, Timothy W. Leveroni, has settled a disciplinary matter by the Financial Industry Regulatory Authority (FINRA) for falsifying signatures, per a settlement agreement known as an Acceptance Waiver and Consent (“AWC”).
The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 million from at least 10 brokerage account holders and advisory clients.
Attorney James Eccleston recently received the highest possible Martindale-Hubbell AV rating in their 2024 Judicial Edition.