Finra bars owner of New Jersey broker-dealer
James Carrazza of Olympus Securities failed to report federal tax liens on his employment record and would not provide the regulator with requested information, according to Finra.
Finra reached a settlement last Friday to bar the owner of a small broker-dealer in New Jersey for failing to respond to requests for information five months after it had filed a Wells Notice against him.
In October, the Financial Industry Regulatory Authority Inc. hit James Carrazza, the owner an
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