In the News
powered by Ovast-
Back To The Future For Barred Stockbroker In Federal Expungement Case
forbes.com 4 days, 5 hours agoThe Digital Age has had stunning and unanticipated consequences for regulatory settlements of prior decades.
-
Stockbroker Barred For Paying Gambling Debts With Customer Funds
forbes.com 1 week, 6 days agoFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Marc Duda submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. In the Matter of Marc ...










Loading More Stories