FINRA recently announced that Christopher William Shanahan, a former financial advisor in Westlake, Ohio, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Shanahan consented to the described sanction and to the entry of findings that he misappropriated more than $30,000 from his member firm. According [...]
FINRA recently announced that Charles James Moni, a financial advisor formerly registered with Jesup & Lamont Securities Corp, a FINRA broker-dealer based in Edison, New Jersey, has been fined $39,013, which includes disgorgement of $29,013 representing commissions received, and suspended from association with any FINRA member in any capacity for six months. Without admitting or [...]
FINRA recently announced that Canaccord Adams Inc. (a registered brokerage firm in Boston, Massachusetts) has been fined $12,500 and censured for securities violations. Without admitting or denying the findings, Canaccord Adams consented to the described sanctions and to the entry of findings that it failed to provide written notification disclosing to its customers its correct [...]