Garyn Ian Angel – Boca Raton, Florida FINRA Prohibited Private Securities Transaction Arbitration and Litigation Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

The monthly disciplinary information is referenced on the FINRA site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:

August 2015 Disciplinary and Other FINRA Actions:

http://www.finra.org/sites/default/files/publication_file/August_2015_Disciplinary_Actions.pdf

Broker Check: http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/

 Garyn Ian Angel (CRD #3172630, Port Richey, Florida) submitted an AWC in which he was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the findings, Angel consented to the sanctions and to the entry of findings that he participated in two private securities transactions without providing prior written notice to his member firms.  The findings stated that Angel settled a customer’s complaint regarding a customer’s investment without notifying his present or his former firms.

 The suspension is in effect from June 15, 2015, through October 14, 2015. (FINRA Case #2014040036901).

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