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Tagged with "investigation"

Another Advisor Barred for Failure to Cooperate with FINRA Investigation

Posted on October 22nd, 2020 at 3:49 PM
Another Advisor Barred for Failure to Cooperate with FINRA Investigation

Sean Michael Refsnider, a former registered representative at Ameriprise, has agreed to a bar from association in all capacities with any FINRA member.

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Advisor Barred for Failure to Cooperate with FINRA Investigation

Posted on October 14th, 2020 at 11:44 AM
Advisor Barred for Failure to Cooperate with FINRA Investigation

Neil James Buono, a former registered representative at Pruco Securities, has agreed to a bar from association in all capacities with any FINRA member.

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Lake Geneva Investor Settles SEC Market-Timing Probe for $2.37 Million

Posted on September 12th, 2019 at 11:44 AM
Lake Geneva Investor Settles SEC Market-Timing Probe for $2.37 Million

A mutual fund investor agreed to pay the Securities and Exchange Commission (“SEC”) nearly $2.37 million to end an investigation.

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FINRA Discipline: FINRA Rule 9268

Posted on January 28th, 2017 at 10:00 AM
FINRA Discipline: FINRA Rule 9268

This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process.

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Latest Articles
Morgan Stanley Files Lawsuit Against $6 Million Team
January 14th, 2021 at 3:57 PM
FINRA Proposes Rule to Regulate “Restricted” Firms
January 13th, 2021 at 4:05 PM
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