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Staff Attorney
Oct 11, 20182 min read
Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account
The Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...
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Staff Attorney
Nov 22, 20172 min read
Former Merrill Lynch Broker Blake King Barred for Failing to Cooperate with Investigation involving
Merrill Lynch financial advisor, Blake P. King (King), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
Mar 17, 20172 min read
Former Merrill Lynch Broker Alphonso Papa Barred for Failing to Cooperate with Investigation
Former Merrill Lynch broker, Alphonso Joseph Papa (Papa), recently settled allegations with the Financial Industry Regulatory Authority...
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