Tag Archives: Michael Rubel

FINRA Sanctions Capital Securities Stockbroker

September 14, 2020  |   Posted by :   |   Excessive Trading, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations   |   Comments Off on FINRA Sanctions Capital Securities Stockbroker

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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