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    Former Morgan Stanley Broker Anthony Verzi Barred for Failing to Cooperate with Investigation involv
    Staff Attorney
    • Nov 28, 2017
    • 1 min

    Former Morgan Stanley Broker Anthony Verzi Barred for Failing to Cooperate with Investigation involv

    Morgan Stanley financial advisor, Anthony Joseph Verzi (Verzi), recently settled allegations with the Financial Industry Regulatory...
    2 views0 comments
    FINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment Recommenda
    Staff Attorney
    • Nov 22, 2017
    • 2 min

    FINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment Recommenda

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Cetera financial advisor Christopher...
    1 view0 comments
    FINRA Suspends Former Stifel, Nicolaus Broker Harold Pomeranz for Unsuitable Short-Term UIT Investme
    Staff Attorney
    • Sep 15, 2017
    • 2 min

    FINRA Suspends Former Stifel, Nicolaus Broker Harold Pomeranz for Unsuitable Short-Term UIT Investme

    ​The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2016049938201) against former...
    2 views0 comments
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    • HOME
    • ABOUT
      • ATTORNEY PROFILE
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      • REAL ESTATE CLOSINGS
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