FINRA recently announced that Andrew Mark Ruby, a former Morgan Stanley financial advisor in Hartsdale, New york, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ruby consented to the described sanction and to the entry of findings that from about February 2005 through March 2009, [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA Dispute Resolutions offices in those cities (FINRA’s Southeast headquarters [...]
According to a recent FINRA announcement, Stephanie Murch Haggerty, formerly of Register Financial Associates, Inc. in Atlanta, Georgia, has been fined $10,000 and suspended from associating with any FINRA member firm for 30 days. Without admitting or denying the findings, Haggerty consented to the findings that she did not have the required Series 86 or [...]