Valerie Helen Silverstein (CRD #1413711, Registered Representative, Coconut Creek, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying FINRA's findings, Silverstein consented to the described sanction and to the entry of findings that she had a pre-existing relationship with an individual when he became a customer of her […]

The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Harrison A. Hatzis (CRD #2640978, Registered Principal, Hallandale, Florida)   was fined $30,000 and suspended from association with any FINRA member in any capacity for two years.   The NAC imposed the sanctions following appeal of an Office of Hearing […]