Tag Archives: Penserra Securities LLC

FINRA Sanctions Arete Stockbrokers For Selling Away

December 01, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions Arete Stockbrokers For Selling Away

Gurpreet Singh Chandhoke and Stephen Fitzgerald Shea both of Orinda California and stockbrokers who were formerly registered with Penserra Securities LLC and Arete Wealth Management have been fined $50,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers […]

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