Archive

Tag Archives: David Zier

City National Broker Suspended For Failure To Supervise

Marla Chidsey Roeser of Potomac Maryland is a stockbroker formerly registered with City National Securities Inc. who has been fined ten thousand dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that she failed to supervise the private securities transactions and outside […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

City National Broker Suspended For Failure To Supervise

For a Free Evaluation of Your Claim

All Inquires Are Confidential.

See Important Disclaimer

Categories