Lawrence James Rizer of Boardman Ohio a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings of his conversion of funds while engaging in an outside business activity. Letter of Acceptance Waiver and Consent No. 2017054157401 […]
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Tag Archives: Lawrence James Rizer
FINRA Bars NYLife Stockbroker For Conversion
September 13, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Selling Away and Outside Activities, Stockbroker Theft | 0 Comments
NYLife Securities Broker Fired For Misappropriation
June 19, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
Lawrence James Rizer, of Columbiana, Ohio, a stockbroker formerly registered with NYLife Securities, LLC, has been terminated from employment on April 6, 2017, based upon allegations that he misappropriated funds belonging to the National Association of Insurance and Financial Advisors. Rizer purportedly took the funds for personal gain during the time he was the local […]
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