Articles Posted in Form U5

Gevorg Daldumyan was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he failed to appear for testimony concerning condominium cooperative investments. Daldumyan was registered with World Group Securities, Inc. (WGS) from 2002 through January 2012.  Thereafter, Daldumyan was associated with Transamerica Financial…

The Financial Industry Regulatory Authority (FINRA) recently barred broker Stephen Michael Brown (Brown) for failing to comply with FINRA’s requests for information concerning allegations that Brown engaged in the unlawful sale of securities.  Specifically, at least two customers had brought complaints against Brown alleging that Brown had solicited them to…