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March 27, 2018

Matthew Singer, former Morgan Stanley Broker, Barred by FINRA for Alleged Failure to Cooperate with Investigation into Possible Unsuitable Options Trading

On March 27, 2018, FINRA announced it barred securities broker Matthew Singer from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Matthew Singer for declining to provide sworn testimony in

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Michael Giokas, former Fortune Financial Services, Inc. Stockbroker, Barred for Failure to Cooperate with Investigation into Fraud Charges

Update: Michael Giokas pleads guilty to wire fraud. On March 23, 2018, FINRA announced it barred securities broker Michael Giokas from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Michael

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