The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” William Howard Coons (CRD #2049465, Registered Supervisor, West Hartford, Connecticut) was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without admitting or denying the findings, Coons consented to the described sanctions […]

Jeffrey Rachlin (CRD #823547, Registered Principal, Pleasantville, New York)   has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended from association with any FINRA member in any capacity for 30 business days, and suspended from association with any FINRA member in any principal capacity for 18 months. The […]