203-658-8454

FINRA Fine and Suspension for Former CEO Dismissed

Published: March 23, 2017

Pastore & Dailey attorneys successfully represented the former CEO of a broker dealer in a regulatory dispute with FINRA.  When Pastore & Dailey was retained, FINRA was seeking a multi-month suspension, thousands of dollars in fines, and was days away from serving a complaint.  In the space of a few months, Pastore & Dailey convinced FINRA to close the case without levying a dollar in fines or a single day of suspension.