Kevin Luby (CRD #4568246, Port Orange, Florida) was assessed a deferred fine of $25,000 and suspended by FINRA for 10 months for allegedly failing to disclose to his member firms that he was engaged in outside business activities on an elderly firm client’s behalf. FINRA's findings stated that the client had named Luby as a […]

Stuart Anthony Cahill (CRD #2556996, Dallas, Pennsylvania) was assessed a deferred fine of $10,000 and suspended by FINRA member in any capacity for one year for allegedly borrowing a total of $65,000 from two clients of his firm, contrary to the firm’s WSPs prohibiting borrowing money from customers. FINRA's findings stated that Cahill failed to […]