Tag: sanction
SEC Bars Former Broker for Concealing Assets in Bankruptcy Case
The Securities and Exchange Commission has barred former broker Stephen Douglas Pizzuti after he pled guilty to concealing assets in a bankruptcy case.
At the...
FINRA Bars Former Guggenheim Broker for Stealing Investment Funds from Relative
The Financial Industry Regulatory Authority has barred former broker Andrew M. Arthur for allegedly converting $275,000 given to him by a relative for a...
