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Global Arena Capital Principal Barred for Supervisory Failures

September 28, 2015 | Posted by : Guiliano Law Group | Churning, Failure To Supervise, Investment and Regulatory News, Municipal Bond Fraud | 0 Comments

Richard Edward Bohack, a trading and operations principal with Global Arena Capital Corp., was permanently barred form associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity after consenting to findings that Bohack had failed to appropriately provide supervision of brokers at Global Arena’s sixth avenue branch firm, which included the failure […]

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Global Arena Capital Principal Barred for Supervisory Failures

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