James Mark McLaughlin Barred for Allegedly Endorsing Unsuitable Short-Term Trades, Unauthorized Trading

Rochester stockbroker fraud attorney

From October 2010 through October 2012 James Mark McLaughlin allegedly engaged in excessive trading in four customers’ accounts in violation of NASD and FINRA Rules, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). Meanwhile, McLaughlin also allegedly recommended unsuitable short-term trading of A-share mutual funds in four customers’ accounts in violation… Read more »

Charles Doller III Sanctioned by Securities Regulators for Allegedly Failing to Supervise Mark Gillis

Charles William Doller III was fined and suspended from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) in connection with claims that Doller failed to supervise Mark Gillis, the CEO, CCO, FINOP, and registered representative at Hudson Valley Capital Management, a New York based broker-dealer firm. Doller, the president and co-owner of Hudson… Read more »