Richfield Orion International | New York Criminal & Securities Attorney

Charles Baker Barred from Securities Industry by FINRA After Investigation

Charles Baker Barred from Securities Industry by FINRA After Investigation

Kevin J. Deloatch, Esq.2022-06-16T19:46:34-05:00June 16th, 2022|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

Kevin J. Deloatch, Esq.2022-06-13T11:02:49-05:00June 13th, 2022|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]