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Articles Tagged with Suspensions

Felix Chu (CRD#: 2427593), formerly a registered representative with NYLIFE Securities, has been indefinitely suspended from the securities industry, according to his BrokerCheck record accessed on January 21, 2020. What happened to lead to Felix Chu’s indefinite suspension from the securities industry? On August 29, 2019, Felix Chu became involved in a customer dispute. Clients […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in June, more than 30 brokers and/or investment advisers were reported in that month as suspended from associating with FINRA firms. The following individuals have agreed to these sanctions without admitting or denying the alleged underlying conduct. Some of these suspensions may […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in August, more than 30 brokers and/or investment advisers were suspended in that month from associating with FINRA firms. The following individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying the alleged […]

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