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Rockwell Global Capital Stockbroker Suspended For Unauthorized Trading

August 25, 2016 | Posted by : Guiliano Law Group | Boilerroom Sales, Unauthorized Trading | 0 Comments

Patrick William Lofaro, of Melville, New York, a stockbroker with Rockwell Global Capital LLC, was fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in the unauthorized discretionary trading in a customer account. Letter of Acceptance, Waiver and Consent, No. […]

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Rockwell Global Capital Stockbroker Suspended For Unauthorized Trading

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