FINRA Chief Alerts Market to Weed Out High-Risk Brokers


President Trump’s anti-regulation program will yield less but more concentrated SEC and FINRA assessments, compliance specialists say. The previous year saw record-breaking levels of enforcement by both regulators. Auditors from FINRA┬áinvestigations and the SEC’s Office…

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Ex-Citigroup Rep Faces Charges From New York AG


New York City Attorney General Eric Schneiderman has charged a previous Citigroup consultant with defrauding senior financiers, inning accordance with a grievance submitted in New York federal court. Dean Mustaphalli presumably moved the properties of…

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A.G. Schneiderman Announces Lawsuit Against Queens Investment Adviser for Allegedly Defrauding Elderly New Yorkers


New York City, NY – June 14, 2017 – Attorney General Eric T. Schneiderman today revealed a claim versus Dean Mustaphalli and numerous of the entities he manages for supposedly participating in a six-year plan…

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