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Recover Your Losses in Icahn Enterprises L.P. (NASDAQ: IEP)
If you suffered heavy losses due to your stockbroker or financial adviser’s recommendation to invest in Icahn Enterprises L.P. (NASDAQ: IEP), the attorneys at Epperson & Greenidge may be able to help correct the damage to your portfolio. IEP is a publicly traded...
read moreFINRA bars Michael Bruce Ralby (CRD #1301072, Boca Raton, Florida)
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ralby was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ralby consented to the sanction and to the entry of findings that...
FINRA bars Ricardo Rodriguez-Stern (CRD #4676168, Great Neck, New York)
March 5, 2018 – An Office of Hearing Officers (OHO) decision became final in which Rodriguez-Stern was barred from association with any FINRA member in all capacities. The sanction was based on findings that Rodriguez-Stern failed to provide information and documents...
FINRA bars David Lloyd Barber (CRD #1165082, Newport Beach, California)
March 6, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Barber was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of findings...
FINRA bars Mark Kaplan (CRD #1978048, Merrick, New York)
March 7, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kaplan was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kaplan consented to the sanction and to the entry of findings...
FINRA bars Jasper Eugene Boykin Jr. (CRD #3141703, Atlanta, Georgia)
March 12, 2018 – An Office of Hearing Officers (OHO) decision became final in which Boykin was barred from association with any FINRA member in all capacities. The sanction was based on findings that Boykin failed to timely respond to FINRA requests for information...
FINRA bars John Neil Milne (CRD #1747745, New York, New York)
March 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Milne was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Milne consented to the sanction and to the entry of findings...