Tag Archives: Keith Joseph Michelfelder

FINRA Sanctions Joseph Gunnar Broker For Failure To Pay

February 20, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Keith Joseph Michelfelder of New York New York is a stockbroker formerly registered with Joseph Gunnar that had his securities registration revoked by Financial Industry Regulatory Authority (FINRA) according to FINRA Rule 8230 based upon Michelfelder’s failure to pay a ten thousand dollar fine that FINRA ordered because of Michelfelder having placed trades in customer […]

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Joseph Gunnar Broker Fined For Unauthorized Transactions

August 31, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Keith Joseph Michelfelder, of New York, New York, a stockbroker formerly registered with Joseph Gunnar & Co. LLC, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in the firm’s customer accounts. Letter of Acceptance, […]

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