Stockbroker Misconduct and Investment Fraud Blog

FINRA Bars New York Broker

FINRA barred New York broker Michael Lewis Axel from association with any FINRA member brokerage firm in any capacity. Without admitting or denying the findings, Axel consented to the sanction and to the entry of findings that he misappropriated...

FINRA Bars Miami, Florida Broker

In January 2010, FINRA barred Miami, Florida broker Thailia Alisa Tucker from association with any FINRA member brokerage firm in any capacity. Tucker consented to the sanction and to the entry of findings that she misappropriated...