The Financial Industry Regulatory Authority suspended a New York broker over violations related to his documentation of his telephone conversations with clients, according to AdvisorHub. FINRA took the enforcement action against Derek John Rehill over notes compiled...
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Broker Misconduct
Barred NY investment broker indicted on stock fraud charges
Prosecutors announced the indictment of a barred New York investment broker accused of stealing from clients in a stock fraud scheme, reports InsuranceNewsNet. 57-year-old Peter Quartararo of Glen Cove, Long Island was arraigned earlier this month on five counts of...
Former broker sentenced to prison for conspiring to defraud elderly investors
A former stockbroker who was convicted of conspiring to defraud elderly investors has been sentenced to federal prison, InsuranceNewsNet reports. 69-year-old Lawrence Isen, who prosecutors said participated in a scheme to promote and manipulate the price of shares in...
FINRA bars former J.P. Morgan broker who was discharged over trading violations
The Financial Industry Regulatory Authority has barred a former broker for J.P. Morgan who was the subject of multiple client complaints against him, ThinkAdvisor reports. FINRA released details of the case involving 75-year-old Edward L. Turley in a letter of...
FINRA suspends former Merrill Lynch broker over outside business activities
The Financial Industry Regulatory Authority has suspended and fined a former broker for Merrill Lynch who was discharged from the firm over his outside business activities, AdvisorHub reports. FINRA announced the action against Christopher T. Eriksson, who was based...
