The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Charles Rainsford Marks Jr. (CRD #4727907, Registered Representative, South Jacksonville, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days. The […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Joseph James Sciarra Jr. (CRD #1576322, Registered Principal, Wellington, Florida)   was barred from association with any FINRA member in any capacity and ordered to pay $393,935, plus interest, in restitution to a customer’s estate. The sanctions were based on findings that […]