Barred
Marcus Parker Sanctioned By FINRA Over Misappropriation Allegations
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former New Mexico-based Merrill Lynch broker/adviser Marcus Parker was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested…
Read MoreSteven Pagartanis Sanctioned and Barred by FINRA, Named in Pending SEC Fraud Charges
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 7, 2018 indicate that former New York-based Lombard Securities broker Steven Pagartanis has been sanctioned by FINRA and barred from acting as a broker, and has also been named in pending SEC fraud charges. Fitapelli Kurta is interested in speaking to…
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