This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Juan Carlos Parets (CRD #4839759, Registered Representative, New York, New York) was suspended from association with any FINRA member in any capacity for 18 months and ordered to pay $30,000 in restitution to customers, and based on Juan C. Parets’ demonstration of […]

This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Juan Carlos Parets (CRD #4839759, Registered Representative, New York, New York) was suspended from association with any FINRA member in any capacity for 18 months and ordered to pay $30,000 in restitution to customers, and based on Juan C. Parets’ demonstration of […]

In an October 2nd, 2011, InvestmentNews.com article, Bruce Kelly writes that stockbrokers who sell products that promise high returns without the approval of their broker-dealers once again have become a leading concern for state securities regulators. This practice is known as “selling away,” and is one of the most common difficulties that independent and franchisee broker-dealers face in […]