Tag Archives: Rani Soto

FINRA Bars Prudential Stockbroker With Secret Marijuana Business

September 14, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on FINRA Bars Prudential Stockbroker With Secret Marijuana Business

Rani Soto of Newark New Jersey a stockbroker formerly registered with Prudential Investment Management Services has been charged by Financial industry Regulatory Authority Department of Enforcement with engaging in outside business activities that were not disclosed to the securities broker dealer and for failing to timely cooperate with FINRA during the course of its investigation […]

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