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Financial America Services Broker Barred By Regulator

February 19, 2018 | Posted by : Guiliano Law Group | Customer Loans, Investment and Regulatory News | 0 Comments

James Marc Unger of Mayfield Heights Ohio is a stockbroker formerly registered with Financial America Services who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Unger (1) entered into an unapproved borrowing arrangement with a customer (2) falsely attested to his […]

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Financial America Services Broker Barred By Regulator

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