suspend | New York Criminal & Securities Attorney

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

Kevin J. Deloatch, Esq.2022-04-09T19:43:27-05:00April 9th, 2022|Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert David, Jr. (CRD # 5211223) was recently suspended from the securities [...]

Frederick Joseph Rock Suspended by FINRA from Securities Industry for Unapproved Sales of Private Placement Securities

Frederick Joseph Rock Suspended by FINRA from Securities Industry for Unapproved Sales of Private Placement Securities

Kevin J. Deloatch, Esq.2021-04-27T14:28:06-05:00April 27th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Frederick Joseph Rock (CRD # 2548242) was recently suspended from the securities [...]