Articles Tagged with FINRA Rule 3280

FINRA has suspended Moloney Securities broker Candice Montie from the securities industry for three months for participating in private securities transactions without providing the required written notice to her firm. She was also fined $5,000.

If you have lost money with Candice Montie, or Moloney Securities, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA Letter of Acceptance, Waiver, and Consent (“AWC”)

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