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 [...]
Filed under: Securities Fraud | Comment (0)
In May 2009, FINRA announced that William Joseph Boyle, a financial advisor for Citigroup and Legg Mason Wood Walker in Pennsylvania and Maryland , had been barred from the securities industry for wrongfully converting and using funds from customer accounts and for failing to cooperate with FINRA investigators. According to the FINRA announcement, Boyle’s misconduct [...]
Filed under: Securities Fraud | Comment (0)