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Salmon Whitney Chief Operating Officer Fined By FINRA

December 23, 2017 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | 0 Comments

Gary Bruce Weiss, of Farmingdale, New York, a chief operating officer formerly registered with Salomon Whitney Financial, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to supervise a stockbroker that made unsuitable investment recommendations to a […]

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Salmon Whitney Chief Operating Officer Fined By FINRA

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