Tag Archives: Richard L. Brown

Arive Capital Markets Stockbroker Suspended

May 18, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Richard L. Brown, of Farmingdale, New York, a stockbroker formerly registered with Arive Capital Markets, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Brown failed to apprise FINRA staff of his compliance with a settlement agreement or customer initiated arbitration claim. Letter No. […]

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