RBC Capital Markets | New York Criminal & Securities Attorney

David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2021-04-29T10:18:13-05:00April 29th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Scott Fergang (CRD # 1758758) was recently suspended from the securities [...]

Frederick Scott Levine Suspended from the Securities Industry by FINRA

Frederick Scott Levine Suspended from the Securities Industry by FINRA

Kevin J. Deloatch, Esq.2020-08-07T10:24:20-05:00August 5th, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Frederick ("Fred") Scott Levine (CRD # 1765119) was recently suspended from the [...]