Michael Rubel of Red Bank New Jersey a stockbroker formerly registered with Capital Securities Management has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he made unsuitable unit investment trust transactions in customer accounts at Capital Securities Management. Letter of Acceptance Waiver and Consent […]
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Tag Archives: Michael Rubel
FINRA Sanctions Capital Securities Stockbroker
September 14, 2020 | Posted by : Guiliano Law Group | Excessive Trading, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations | Comments Off on FINRA Sanctions Capital Securities Stockbroker