Tag Archives: Brian Marcus Herman

Viewtrade Securities Stockbroker Investigated

March 30, 2017  |   Posted by :   |   Investment and Regulatory News, Unregistered Securities   |   0 Comments

Brian Marcus Herman, of Boca Raton, Florida, a stockbroker currently registered with Viewtrade Securities, has been identified in a Financial Industry Regulatory Authority (FINRA) investigation into whether Herman violated FINRA Rules 2010 and Securities Act of 1933 Section 5. Examination No. 20140404879 (Sept. 28, 2016). Section 5 of the Securities Act of 1933 relates to […]

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