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securities fraud Tag Archives — New York Securities Lawyers Blog
http://www.newyorksecuritieslawyersblog.com/tag/securities-fraud
New York Securities Lawyers Blog. Published By Malecki Law. August 23, 2016. BROKER REPORT: Brett Baffa. By Malecki Law Team. Malecki Law’s team of investment fraud attorneys are interested in hearing from investors who have complaints regarding broker Brett A. Baffa. Mr. Baffa was most recently licensed through NYLife Securities before being terminated by the firm, per industry records. According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority ( FINRA ). July 27, 2016.
newyorksecuritieslawyersblog.com
robert dielhl Tag Archives — New York Securities Lawyers Blog
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New York Securities Lawyers Blog. Published By Malecki Law. August 5, 2015. Former Park Avenue Securities, LLC Broker Robert Michael Diehl Suspended by FINRA. Beware of alternative investments. A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s. According to the AWC, between September and October 2014, Mr. Diehl sold EIAs to two customers. The AWC detailed that according to the firm’s compliance manual, Mr. Diehl wa...Regulator...
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aegis Tag Archives — New York Securities Lawyers Blog
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New York Securities Lawyers Blog. Published By Malecki Law. August 4, 2015. Aegis Capital Fined By FINRA; Senior Management Suspended. By Robert Van De Veire. Has announced that it has fined Aegis Capital Corp. $950,000 for sales of unregistered penny stocks and anti-money laundering violations. According to FINRA, this fine was also related to supervisory failures within the firm. By Robert Van De Veire. Problems at Broker Dealers. And Regulatory Audits and Investigations. August 4, 2015.
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FINRA Tag Archives — New York Securities Lawyers Blog
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New York Securities Lawyers Blog. Published By Malecki Law. August 24, 2016. Top Wealth Managers with Questionable Records. By Malecki Law Team. Here is a list of a few of the top advisors with disclosure events for unauthorized trading, unsuitability, and more. (. Not all top advisors on their list had reported events or all of the above reported events on BrokerCheck and the list below does not comprehensively include all top advisors with such disclosure events. By Malecki Law Team. August 24, 2016.
newyorksecuritieslawyersblog.com
charles smulevitz Tag Archives — New York Securities Lawyers Blog
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New York Securities Lawyers Blog. Published By Malecki Law. August 4, 2015. Aegis Capital Fined By FINRA; Senior Management Suspended. By Robert Van De Veire. Has announced that it has fined Aegis Capital Corp. $950,000 for sales of unregistered penny stocks and anti-money laundering violations. According to FINRA, this fine was also related to supervisory failures within the firm. By Robert Van De Veire. Problems at Broker Dealers. And Regulatory Audits and Investigations. August 4, 2015.
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4901 LBJ Freeway, Suite 150, Dallas, TX 75244-6179. PO Box 2406, Huntington Beach, CA 92647. Howard S. Eilen. 50 Charles Lindbergh Blvd. Uniondale, NY 11553. Frank A. Lightmas Jr. 1355 Peachtree Street NW, Suite 1150, Atlanta, GA 30342. James D. Yellen. 156 East 79th Street Suite 1C, New York, NY 10075. 3530 Independence Dr., Birmingham, AL 35209. 705 Princess St., Wilmington, NC 28401. 1301 E. 9th Street, Cleveland, OH 44114. Pennzoil Place - South Tower, 711 Louisiana, Suite 2150, Houston, TX 77002.
newyorksecuritieslawyersblog.com
Aegis Capital Fined By FINRA; Senior Management Suspended — New York Securities Lawyers Blog
http://www.newyorksecuritieslawyersblog.com/2015/08/aegis-capital-fined-by-finra-senior-management-suspended.html
New York Securities Lawyers Blog. Published By Malecki Law. August 4, 2015. Aegis Capital Fined By FINRA; Senior Management Suspended. By Robert Van De Veire. Has announced that it has fined Aegis Capital Corp. $950,000 for sales of unregistered penny stocks and anti-money laundering violations. According to FINRA, this fine was also related to supervisory failures within the firm. The attorneys at Malecki Law have personally handled cases against broker-dealers like Aegis and others, relating to alleged...
newyorksecuritieslawyersblog.com
Former Park Avenue Securities, LLC Broker Robert Michael Diehl Suspended by FINRA — New York Securities Lawyers Blog
http://www.newyorksecuritieslawyersblog.com/2015/08/former-park-avenue-securities-llc-broker-robert-michael-diehl-suspended-by-finra.html
New York Securities Lawyers Blog. Published By Malecki Law. August 5, 2015. Former Park Avenue Securities, LLC Broker Robert Michael Diehl Suspended by FINRA. Beware of alternative investments. A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s. According to the AWC, between September and October 2014, Mr. Diehl sold EIAs to two customers. The AWC detailed that according to the firm’s compliance manual, Mr. Diehl wa...It was al...
newyorksecuritieslawyersblog.com
broker violation Tag Archives — New York Securities Lawyers Blog
http://www.newyorksecuritieslawyersblog.com/tag/broker-violation
New York Securities Lawyers Blog. Published By Malecki Law. July 22, 2016. BROKER REPORT: Financial Advisor Barry D. Abrams. By Malecki Law Team. In 2015, Mr. Abrams was fined and suspended from association with any FINRA member broker-dealer for 15 business days by FINRA, after submitting a Letter of Acceptance, Waiver and Consent No. 2013039371801 (AWC). By Malecki Law Team. July 22, 2016. July 22, 2016 12:48 pm. July 14, 2016. By Malecki Law Team. The securities fraud attorneys at Malecki Law are inte...
newyorksecuritieslawyersblog.com
Audits and Investigations Archives — New York Securities Lawyers Blog
http://www.newyorksecuritieslawyersblog.com/category/audits-and-investigations
New York Securities Lawyers Blog. Published By Malecki Law. April 8, 2016. New Fiduciary Rule to Protect Retirement Investments. By Malecki Law Team. The new rule fiduciary rule is aimed to at reducing fees and commissions that erode retirement savings and hold brokers to higher standards. It will cast a wider net on who is subject to the fiduciary standard. By Malecki Law Team. April 8, 2016. April 8, 2016 5:00 pm. February 16, 2016. By Malecki Law Team. The New York securities and investment fraud atto...
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