Brundyn Securities | New York Criminal & Securities Attorney

Nigel James Suspended from Securities Industry by FINRA for Churning

Nigel James Suspended from Securities Industry by FINRA for Churning

Kevin J. Deloatch, Esq.2024-01-02T18:27:57-05:00October 31st, 2022|Churning, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Nigel Ronald James (CRD # 4490687) was recently suspended from the securities industry [...]

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Kevin J. Deloatch, Esq.2022-01-27T21:47:27-05:00December 13th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]