FINRA Enforcement Action against broker-dealer and its principal.
||FINRA Enforcement Action against broker-dealer and its principal.
|| Governmental and Regulatory Investigations
Representation of a broker-dealer firm and its principal and owner in an investigation and enforcement action brought by the Financial Services Regulatory Authority, involving alleged violations of the net capital, record-keeping and supervisory rules.
Successfully negotiated a settlement in which the principal was not named in the enforcement action and the firm, while sanctioned, was permitted to continue in business.
|| Paul D. Sarkozi, Ralph A. Siciliano