Staff AttorneyJun 21, 20192 min readSteven Zerbarini (Former NEXT Financial FA) Disciplined for Discretionary Trades in Customers’ AccouThe Financial Industry Regulatory Authority (FINRA) recently announced Steven Elliot Zerbarini (Zerbarini) entered into a Letter of...
Staff AttorneyMay 31, 20192 min readFinancial Advisor James B. Eichner, Jr. Disciplined for Discretionary Trades in Customers’ AccountsThe Financial Industry Regulatory Authority (FINRA) recently announced James B. Eichner, Jr. (Eichner) entered into a Letter of...