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Staff Attorney
Oct 2, 20182 min read
Stifel, Nicolaus Broker Michael Yanow Barred for Conversion of Customer Funds
Mitchell Toby Yanow (Yanow) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
Dec 27, 20172 min read
Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...
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Staff Attorney
Sep 15, 20172 min read
FINRA Suspends Former Stifel, Nicolaus Broker Harold Pomeranz for Unsuitable Short-Term UIT Investme
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2016049938201) against former...
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