This is the sixteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
This is the sixteenth in 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.