Joel Christopher Riedel of Lockport, New York, a stockbroker registered with NYLife Securities LLC, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Riedel lied and mismarked order tickets to falsely claim that investors purchased questionable Unit Investment Trusts (“UITs”) on…
Joel Christopher Riedel of Lockport, New York, a stockbroker registered with NYLIFE Securities LLC, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized trading and mismarked an order ticket when he was…