Tag Archives: Sperry Randall Younger

FINRA Bars NMS Capital Advisors CEO For Failure To Supervise

March 07, 2019  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Sperry Randall Younger of Garden City New York the Chief Executive Officer and Chief Compliance Officer of NMS Capital Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Extended Hearing Panel Decision containing findings that (1) Younger falsified investment banking transactions executed through […]

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