Gregory Joseph Rusnak of St. Charles Illinois a stockbroker formerly registered with Sigma Financial Corporation 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 Rusnak executed unauthorized trades in the accounts of Sigma Financial Corporation customers. Letter of Acceptance […]
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Tag Archives: Gregory Joseph Rusnak
Sigma Financial Broker Fined For Unauthorized Trading
January 19, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims, Unauthorized Trading | 0 Comments
Sigma Terminates Stockbroker For Unauthorized Trading
January 10, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments
Gregory Joseph Rusnak of Saint Charles, Illinois, a stockbroker formerly registered with Sigma Financial Corporation, has been terminated from employment on December 13, 2017, based upon accusations that Rusnak violated Sigma’s policies by executing trades in a customer’s account on a discretionary basis. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on March 28, 2008, […]
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