Christopher B. Ariola, of Aliso Viejo, California, a stockbroker with Bay Mutual Financial, LLC, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Office of Hearing Officers’ Default Decision containing findings that Ariola made unsuitable recommendations to investors. Department of Enforcement v. Christopher B. Ariola, No. 2012034139101 (Dec. […]
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Tag Archives: Christopher B. Ariola
Bay Mutual Financial Stockbroker Barred For Cheating Seniors
December 17, 2016 | Posted by : Guiliano Law Group | Elder Financial Abuse, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments
Bay Mutual Financial Stockbroker Charged With Unsuitable Recommendations
September 09, 2016 | Posted by : Guiliano Law Group | Elder Financial Abuse, Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments
Christopher B. Ariola, of Aliso Viejo, California, a stockbroker with Bay Mutual Financial, LLC, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Ariola made unsuitable recommendations to investors. Department of Enforcement v. Christopher B. Ariola, No. 2012034139101 (Aug. 25, 2016). According to the Complaint, between December of 2011 […]
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