Staff AttorneyOct 5, 20182 minFinancial Advisor Eric Korhut Suspended for Discretionary Trades in Customers’ AccountsThe Financial Industry Regulatory Authority (FINRA) recently announced Eric Steven Korhut (Korhut) entered into a Letter of Acceptance,...
Staff AttorneyNov 20, 20172 minGeraldine Gordon Disciplined for Speculative Energy Investment RecommendationFinancial advisor, Geraldine Gordon (Gordon), recently submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial...