Tag Archives: Martin William Pernoll

Bay Mutual Stockbroker Fined For Unauthorized Trading

November 01, 2017  |   Posted by :   |   Churning, Unauthorized Trading   |   0 Comments

Martin William Pernoll, of Santa Monica, California, a stockbroker formerly registered with Bay Mutual Financial, LLC, has been fined $25,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member firm by consenting to findings that he, inter alia, executed unauthorized transactions, and failed to report customer disputes. Letter of […]

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