Sergey Pustelnik (CRD #4439199, Jersey City, New Jersey) was barred by FINRA for refusing to produce FINRA requested emails in his possession, custody and control, as part of an investigation into, among other things, certain suspicious trading activities occurring through a member firm. FINRA's findings stated that Pustelnik refused to produce a copy of a […]

The following information appeared on FINRA’s website under "Disciplinary and Other Actions, August, 2013.” Jennifer Marie Burton (CRD #5019693, Registered Representative, Los Angeles, California) was fined $7,500 and suspended from association with any FINRA member in any capacity for one month. Without admitting or denying the findings, Burton consented to the described sanctions and to […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” vFinance Investments, Inc. (CRD #44962, Boca Raton, Florida) consented to the described sanctions and to the entry of findings that it acted as the private placement agent for a placement of up to $5 million in convertible notes a company […]