Michael Joseph Cortes of Hauppauge, New York, was fined $15,000 and suspended for six-months from associating with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities after consenting to findings that he engaged in unauthorized outside business activities; willfully failed to disclose tax warrants and a lien; and borrowed from funds in violation […]
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Tag Archives: Michael Joseph Cortes
MetLife Stockbroker Suspended for Outside Business Activities
February 12, 2016 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities, Variable Annuites | 0 Comments