Staff AttorneyNov 22, 20172 minCoastal Equities Censured and Fined for Non-Traditional ETF SupervisionThe Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Coastal Equities, Inc. (“Coastal Equities”)....
Staff AttorneyNov 20, 20172 minFinancial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ AccountsThe Financial Industry Regulatory Authority (FINRA) recently announced Stephen J. Kaufman (Kaufman) 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...
Staff AttorneyNov 17, 20172 minJames R. Schaedler Barred for Failing to Cooperate with Investigation involving Elderly Client’s EstFormer Wells Fargo financial advisor, James R. Schaedler, Jr. (Schaedler), recently consented to a permanent bar from the Financial...