Tag Archives: Robert Delaplain

PHX Sanctioned By FINRA For Failure To Supervise

January 03, 2021  |   Posted by :   |   Boilerroom Sales, Failure To Supervise, Investment and Regulatory News   |   Comments Off on PHX Sanctioned By FINRA For Failure To Supervise

PHX Financial Inc. a securities broker dealer headquartered in New York New York and Robert Delaplain (branch supervisor and Chief Compliance Officer) have been censured and fined by Financial Industry Regulatory Authority (FINRA) supported by findings that PHX and Delaplain neglected to supervise stockbrokers who effected unsuitable transactions in customer accounts. Letter of Acceptance Waiver […]

Read More »