According to publicly available BrokerCheck records, James Carolan Speno (CRD#431912), a New York based securities broker, formerly associated with Morgan Stanley, was recently barred by FINRA. Attorneys at Malecki Law are interested in hearing from investors who have complaints against James Speno. Mr. Speno has spent over 45 years as…
One of the well-known and strictly enforced rules in the securities industry is that brokers should not enter into undisclosed private loan transactions with their clients. A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Paul F.…
“My broker dealer wants me to meet with its lawyers.” This is the start of a FINRA registered representative’s worst nightmare. Your heart is pounding and your head starts to race. “Why me?” “What do they want to know?” “What could I have done?” “Are they going to ask me…