Mark Sullivan Suspended from Securities Industry by FINRA for Unauthorized Discretion

Mark Sullivan Suspended from Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2026-08-21T10:03:48-05:00August 21st, 2026|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mark Sullivan (CRD # 2531982) was recently suspended from the securities industry [...]

Albert Dishner Suspended by FINRA for Unauthorized Trading in Equities and Options Securities

Albert Dishner Suspended by FINRA for Unauthorized Trading in Equities and Options Securities

Kevin J. Deloatch, Esq.2020-06-28T14:35:06-05:00June 20th, 2020|Securities Law, FINRA - Broker Actions, Fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Albert Dishner (CRD No. 1912362) was recently suspended from the securities industry [...]