September 3, 2015- Wellington Florida The Sun Sentinel reports that Joseph Zada, 57, of Wellington, Florida and Grosse Pointe Shores, Michigan, was found guilty by a federal jury of 15…
read moreAugust 20, 2015-West Palm Beach, FL Moshe Yehuda Dunoff was charged by the Securities and Exchange Commission (SEC) with participating in a boiler room fraud that raised over $1.5 million…
read moreJune 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…
read moreAugust 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…
read moreBarry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…
read moreAugust19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…
read moreAugust19, 2015, Jack Allen Scherbert , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on…
read moreAugust18, 2015, Mark Brian Quimby, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…
read moreAugust18, 2015, Glenn Allen Moffitt, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…
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