Tag Archives: Lisa Acca

Arive Stockbroker Barred In Selling Away Investigation

April 23, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Municipal Bond Fraud, Selling Away and Outside Activities   |   Comments Off on Arive Stockbroker Barred In Selling Away Investigation

Lisa Acca of Bay Ridge New York a stockbroker formerly employed by Arive Capital Markets has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity founded on accusations of the stockbroker neglecting to testify for FINRA and failing to provide information or documentation to the regulator while […]

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FINRA Bars Arive Stockbroker In Investigation

Lisa Acca of Bay Ridge New York a stockbroker registered with Arive Capital Markets has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Acca failed to submit documentation to FINRA and provide testimony in the course of a FINRA investigation into allegations of her […]

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