Valence Montgomery Williams, of New York, New York, a stockbroker registered with J.H. Darbie Co. Inc., has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Williams engaged in unauthorized trading and mismarking of trade records. Letter of Acceptance, Waiver, and Consent…
Oscar Nunez of New York New York a stockbroker formerly employed by J.H. Darbie Co. Inc. is the subject of a FINRA Investigation in which FINRA determined that disciplinary action should be taken by FINRA Department of Enforcement against Nunez founded on accusations of (1) Nunez taking a loan from a customer (2) Nunez falsifying…
J.H. Darbie Co. Inc. a brokerage firm headquartered in New York New York has been censured and fined $25,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise recommendations of variable annuities made by one of the firm’s registered representatives. Letter of Acceptance Waiver and Consent No….