Securities Regulator Finds Justin Amaral Churned Investor Accounts Justin Amaral (CRD#: 4440980, Boston, Massachusetts) is a prior Morgan Stanley securities broker (June 1, 2009 to May 7, 2014) that was referenced in a State of New Hampshire Department of State Bureau of Securities Regulation Consent Order #149777 in which Morgan Stanley agreed to pay three […]

FINRA Bars Broker Dealer Financial Corp’s Norman R. Sicard Jr. Norman R. Sicard Jr. (CRD #2269472, West Des Moines, Iowa), who was a registered representative of Broker Dealer Financial Services Corp. between May 26, 2011 and December 15, 2016, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker […]