Michael Allan Bressman of Chatham New Jersey a stockbroker formerly registered with FCG Advisors LLC has been barred from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to respond to FINRA’s request for information. FINRA Case No. 2019061168201 (Jan 13, 2020). According to FINRA Public Disclosure, Bressman was […]
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Tag Archives: FCG Advisors LLC
FINRA Bars FCG Stockbroker In Cherry Picking Scheme
March 26, 2020 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News | Comments Off on FINRA Bars FCG Stockbroker In Cherry Picking Scheme
FCG Stockbroker Sanctioned For Failure To Comply
Michael Allan Bressman of Chatham New Jersey a stockbroker formerly employed by FCG Advisors LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that Bressman neglected to cooperate with FINRA’s request for his information. Case No. 2019061168201 (Nov. 4, 2019). According to FINRA Public […]
Read More »FCG Advisors LLC Fined For Unregistered Securities Sales
August 08, 2016 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Unregistered Securities | 0 Comments
FCG Advisors LLC, headquartered in Chatham, New Jersey, was censured and fined $50,000.00 by the Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm sold securities that were not registered. Letter of Acceptance, Waiver and Consent, No. 2012030676501 (June 28, 2016). According to the AWC, from August 2011 through October 2011, the […]
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