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May 7, 2013
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Blog, Securities Fraud
FINRA recently announced that Sean Francis Sheridan (a financial advisor based in Oakhurst, New Jersey) has been barred from association with any FINRA member in any capacity. According to the announcement, without admitting or denying the allegations, Sheridan consented to the entry of findings that he recommended
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May 26, 2010
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Blog, Securities Fraud
FINRA recently announced that Mark Francis Harper, formerly of Bentley-Lawrence Securities, Inc. in Stow, Ohio, has been barred from association with any FINRA member in any capacity. The sanction was based on findings that Harper engaged in a pattern of mutual fund switching in customer’s accounts without
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