FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

FINRA, the Financial Industry Regulatory Authority, alleges Roman Sledziejowski, the Polish president and owner of TWS Financial, LLC, in Brooklyn, N.Y., used customer funds for his own use and gave false statements to clients from June, 2009, through August, 2012. FINRA alleges Sledziejowski defrauded three Polish customers of more than $4 million by taking money […]