Ryan Friel

Marshall Dennehey

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FINRA Encouraged to Take Remedial Action to Correct Broker’s CRD Record

Aramis Seferian v. Continental Broker-Dealer Corp., FINRA Case #23-00665 - The claimant broker requested expungement of two customer complaints from his CRD record. In an explained decision, the FINRA Panel denied the...more

4/30/2024 / Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Investment Firms , Remedial Actions

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Ryan Friel

Marshall Dennehey

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Latest Posts › Remedial Actions

FINRA Encouraged to Take Remedial Action to Correct Broker’s CRD Record

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