Tag Archives: Glen J. Rauch

Avenir Financial Group Stockbroker Barred For Unsuitable Recommendations

December 07, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Glen J. Rauch, of Syosset, New York, a stockbroker formerly registered with Avenir Financial Group, Inc., was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Rauch effected unsuitable and unauthorized transactions in customer accounts, and […]

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FINRA Charges Broker with Eighteen Complaints with Making Unsuitable Recommendations

Glen J. Rauch, of Syosset, New York, a stockbroker with Avenir Financial Group, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Rauch engaged in significant sales practice violations, including the effecting of unauthorized and unsuitable transactions in customer accounts. Department of Enforcement v. Glen Rauch, No. […]

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