Michael B. Inderlied, of New Woodstock, New York, a stockbroker with Adirondack Trading Group LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he obstructed an investigation into allegations of his unsuitable investment recommendations to customers. Letter of Acceptance, Waiver and…
Timothy N. Payne, of New Woodstock, New York, a stockbroker with Adirondack Trading Group LLC, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he obstructed an investigation into allegations of Payne’s unsuitable investment recommendations. Letter of Acceptance, Waiver and Consent, No. 2014040289802 (Sept….
Wayne Anthony Shultz, of Branchburg, New Jersey, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities after consenting to findings that he obstructed a FINRA investigation into notes that Schultz issued a client. Letter of Acceptance, Waiver and Consent, No. 2015044640601 (Feb. 5, 2016). According to the AWC, on…