David Oscar Braeger of Milwaukee Wisconsin a stockbroker formerly employed by Newport Coast Securities Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council Decision which affirmed a FINRA Extended Hearing Panel Decision barring Braeger from associating with any member in any capacity based upon findings that (1) Braeger made misrepresentations…
David Oscar Braeger, of New York, New York, a stockbroker registered with Newport Coast Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon an Office of Hearing Officers Extended Hearing Panel Decision containing findings that he made misrepresentations to customers concerning the status and value…