FINRA Investigations And Disciplinary Actions

Big Cases. Individual Focus. 2025 Results For executives and professionals, employment and business disputes and negotiations aren’t just about the law – they are about maximizing the executive’s or professional’s monetary settlement or award or pay, as the case may be, and about advancing or preserving his or her career, reputation, standard of living, and sense of purpose. This year,…Read More

FINRA Declines To Fine, Suspend Or Expel Investment Banking Associate In Manhattan Who Repeatedly Doctored Expense Receipts Recently, I was approached by a former investment banking associate (“the former associate,” “the ex-associate,” “my former associate client, or “my ex-associate client”) who, over two years after she quit her employment with a brokerage firm in the borough of Manhattan and began…Read More

FINRA Declines To Fine, Suspend Or Disbar Registered Representative In Manhattan Who Falsely Told Her Brokerage Firm That She Had Passed Or Taken A Securities License Examination Recently, I was approached by an anti-money laundering associate (“the associate” or “my associate client”) who — while her brokerage firm in Manhattan was conducting an internal investigation of her for falsely telling…Read More