Tag Archives: Oscar Nunez

FINRA Investigates J.D. Darbie Stockbroker For Conversion

Oscar Nunez of New York New York a stockbroker formerly employed by J.H. Darbie Co. Inc. is the subject of a FINRA Investigation in which FINRA determined that disciplinary action should be taken by FINRA Department of Enforcement against Nunez founded on accusations of (1) Nunez taking a loan from a customer (2) Nunez falsifying […]

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JH Darbie Broker Finally Barred For Failure To Respond

June 25, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Oscar Nunez of New York New York a stockbroker formerly employed by J.H. Darbie Co. Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that he neglected to provide FINRA with information during an investigation into his activities. Case No. 2017055553001 (Nov. 24, 2017). […]

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