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Suspension and Restitution Order for Dennis D. Herrera from Excessive Trading Allegations
The Financial Industry Regulatory Authority (FINRA) sanctioned Dennis D. Herrera (CRD No. 4618370) for engaging in excessive and...
Christopher Lufrano
2 min read
Spartan Broker Joseph Kelly Suspended for Excessive Trading
The Financial Industry Regulatory Authority (FINRA) sanctioned Joseph Kelly (CRD No. 4560737) for engaging in excessive and...
Christopher Lufrano
2 min read
Excessive Trading Results in Suspension for Antonio Molinos
The Financial Industry Regulatory Authority (FINRA) sanctioned Antonio Molinos (CRD No. 2764977) for engaging in excessive and unsuitable...
Christopher Lufrano
2 min read
Failure to Cooperate with FINRA Inquiry Leads to Bar for Ruben Rojas-Salvador
The Financial Industry Regulatory Authority (FINRA) permanently barred Ruben Rojas-Salvador (CRD No. 7801564) from associating with any...
Christopher Lufrano
2 min read
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