Staff AttorneyNov 10, 20182 minFinancial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ AccounThe Financial Industry Regulatory Authority (FINRA) recently announced Richard H. Yada (Yada) entered into a Letter of Acceptance, Waiver...
Staff AttorneyOct 25, 20182 minFinancial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s AccountThe Financial Industry Regulatory Authority (FINRA) recently announced Jonathan William Iraggi (Iraggi) entered into a Letter of...
Staff AttorneyOct 11, 20182 minFinancial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s AccountThe Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...
Staff AttorneyDec 27, 20172 minFinancial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ AccountsThe Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...