Staff AttorneyJun 27, 20192 minMerrill Lynch Broker Michael Tanha Receives Severe Suspension for Outside Business Activities and PrMichael Milad Tanha (Tanha), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA)...
Staff AttorneyJun 27, 20192 minFormer Cambridge Broker Anselmo Contreras Barred for Stealing Funds From CustomersAnselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
Staff AttorneyJun 21, 20192 minSteven Zerbarini (Former NEXT Financial FA) Disciplined for Discretionary Trades in Customers’ AccouThe Financial Industry Regulatory Authority (FINRA) recently announced Steven Elliot Zerbarini (Zerbarini) entered into a Letter of...
Staff AttorneyJun 21, 20192 minFormer Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) andJames Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....