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January 11, 2011
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Blog, Securities Fraud
According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William Mason, of charging customers “excessive” markups on normally safe municipal bonds and high-grade mortgage-backed securities. According to the FINRA complaint, David
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August 26, 2009
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Blog, Securities Fraud
Reynold Frank Vaughan III suspended from FINRA for four months for securities violations. Without admitting or denying the findings, Vaughan consented to the suspension and to the entry of findings that he engaged in unsuitable trading in customers’ accounts by engaging in speculative securities transactions without
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