Susan M. Diamond, Lake Worth, FL was fined $10,000 by the Financial Industry Regulatory Authority (FINRA) and received a four month suspension. Felix Investment, the New Jersey based firm she worked with, was additionally fined $300,000 and Frank G. Mazzola who is part owner of Felix, was barred from the industry by FINRA. According to […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, March, 2012.”   Council (NAC) imposed the sanctions following appeal of an Office of Hearing Officers (OHO) decision. The sanctions were based on findings that Beloyan, acting on the firm’s behalf, drafted and distributed emails in which he recommended the purchase of securities, and those recommendations […]