FINRA suspends Paul Kreindler (CRD #275334, New York, New York)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kreindler was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the...FINRA suspends Rahim Shah (CRD #6482164, Plano, Texas)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Shah was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings,...FINRA suspends Mark Jude Ketner (CRD #1138522, Dix Hills, New York)
March 27, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ketner was fined $5,000, suspended from association with any FINRA member in all capacities for two months and ordered to pay $1,054.33, plus interest, in restitution to a...
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