Michael N. Guilfoyle, of New York, New York, a stockbroker registered with Legend Securities, Inc., has been fined $10,000.00 and suspended for ten months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unsuitable transactions in the customer’s account. Letter of Acceptance, Waiver […]
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Tag Archives: Michael N. Guilfoyle
FINRA Suspends Legend Securities Broker For Unsuitable Trading
December 15, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments