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Former financial advisor Mitchell Biernick of New York has been barred from the securities brokerage industry by self regulator FINRA for refusing to appear for on-the-record testimony requested by FINRA in connection with an investigation into allegations that Biernick made unsuitable investment recommendations to clients. According to his Brokercheck report,…
Financial Advisor Terry Tzagarakis of New York has been sanctioned by the Financial Industry Regulatory Authority for allegedly churning customer accounts. Following an investigation, the regulator found that Tzagarakis recommended high frequency trading in customer accounts, and that his customers routinely followed his recommendations. As a result, Tzagarakis is said to have exercised de facto…
Christopher Polinaire of New York was sanctioned by the Financial Industry Regulatory Authority (FINRA) on November 1, 2022, after the regulator found evidence that Polinaire excessively and unsuitably traded three customers’ accounts between August 2017 and March 2020. Polinaire was registered as a General Securities Representative of brokerage firm Arive Capital…