Stockbroker

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  • Back To The Future For Barred Stockbroker In Federal Expungement Case

    forbes.com 4 days, 5 hours ago

    The 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 ago

    For 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 ...

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