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...
The Difference Between FINRA Arbitration and Lawsuits
FINRA stands for the Financial Industry Regulatory Authority, an organization that provides certification standards for financial industry professionals and helps customers and consumers of financial products get help with scams, fraud, and other issues. One of...
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