Recently, the Financial Industry Regulatory Authority (FINRA) announced a settled enforcement action against Alan Scot Feigenbaum (CRD #3132230, Boca Raton, Florida). In this action, an AWC was issued in which Feigenbaum was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for five…
Kelly Marvin Barnett (CRD #4127608, Sarasota, Florida): Recently, the Financial Industry Regulatory Authority announced that Kelly Marvin Barnett executed and Acceptance, Waiver and Consent in which Barnett was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for six months. Without admitting…
We use cookies to improve the experience of our website. By continuing to use our website, you consent to the use of cookies.
To understand more about how we use cookies, please see our Privacy Policy.