George Dahl, of New York, New York, a stockbroker formerly registered with Revere Securities, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA in the course of an investigation into allegations of his wrongdoing….
Jonathan Eric Altman, of Boston, Massachusetts, has been charged by the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth of Massachusetts in a Compliant which alleged that Altman made unsuitable investment recommendations pertaining to equities and real estate investment trust products, effected unauthorized transactions, excessively traded in the customer’s account, and…