Articles Posted in FINRA Sanctions

In March 2024, Evershed Sutherland (US) LLP released its annual report (the Report) detailing disciplinary and enforcement actions initiated by the Financial Industry Regulatory Authority (“FINRA”) during the 2023 year. The Report outlines how FINRA seemingly stepped up its investigatory efforts in 2023, levying $89 million in fines against member…

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…