Richard James Murphy of New York New York a stockbroker formerly registered with Tullett Prebon Financial Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide FINRA with a response to its request for information. Case No….
Glenn Nicholas Caruso of New York, NY, a Stockbroker with Tullett Prebon Financial Services LLC, was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities after consenting to findings that he failed to cooperate with FINRA in their investigation into Caruso’s alleged misconduct regarding municipal bond trading…
Edward J. Vierling, Sr. of New York, New York, a Stockbroker with Tullett Prebon Financial Services LLC, was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities after consenting to findings that he failed to cooperate with FINRA in their investigation into Vierlings’s alleged misconduct regarding bond…