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FINRA fines broker for muni rule violations

Published: February 9, 2022

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

Source: financial-planning.com

Related Topics:

Michaelg MancinelliFinancial Industry Regulatory AuthorityCeladon Financial GroupDinosaur Financial GroupMunicipal Securities Rulemaking BoardNew York Based Dinosaur Financial GroupNew Jersey Based Celadon Financial GroupMsrb RulesWashington Dc

FINRA fines broker for muni rule violations

Published: February 8, 2022

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

Source: bondbuyer.com

Related Topics:

Michaelg MancinelliFinancial Industry Regulatory AuthorityCeladon Financial GroupDinosaur Financial GroupMunicipal Securities Rulemaking BoardNew York Based Dinosaur Financial GroupNew Jersey Based Celadon Financial GroupMsrb RulesWashington Dc