beloyan investment securities regulations

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Beloyan investment securities regulations mazda vest

Beloyan investment securities regulations

In May Beloyan was named in a FINRA complaint alleging that he recommended penny stocks and engaged in penny stock transactions without complying the regulations required by the Securities Exchange Act. In , Beloyan was suspended for 2 months by FINRA in connection with the sale of unregistered shares and low priced stock. In Beloyan was suspended for 10 days for distribution of correspondence recommending the purchase of securities without providing a sound basis for his recommendation of the stock.

He is also associated with Beloyan Investment Securities, Inc. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Is it wrong to buy puts or calls? Why is it that a client can fill out an option agreement and buy options right away, even before having read the option disclosure book, but a client that wants to buy a penny stock has to sign that he read the disclosure statement?

Why can't a client fill out and sign a Penny Stock form similar to the Option Account form and receive the same type of booklet and be done with all of this paperwork, forms and time consuming compliance stuff?

Why does the SEC seem to always make this extremely difficult for brokers not to mention the client? Let's not even talk about the Mutual Fund scandal or Analyst recommendations from the big firms. There is no secret here. They know what they are doing and they know they want to risk some of their capital for a potential big reward or even want the chance to win big if the find the next Microsoft, Cisco, IBM.

Why does the SEC want to take that away from consenting adults? If an investor has bought penny stocks before at another firm and wants to do business with me in penny stocks, he still has to fill out the existing forms, why make him wait 2 days and jump through all those hoops? How can venture capital and new ideas with small public companies exist and grow with more restrictions? Doesn't putting more government into what is already here, which by the way seems to be working fine, significantly curbed growth in our economy?

I am tired and frustrated with all the new rules and regulations that seem to serve no one.

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In Beloyan was suspended for 10 days for distribution of correspondence recommending the purchase of securities without providing a sound basis for his recommendation of the stock. He is also associated with Beloyan Investment Securities, Inc. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful. Here are the actions taken for the month of March against Florida members and individuals. Sergio M. Dominick A. In May Beloyan was named in a FINRA complaint alleging that he recommended penny stocks and engaged in penny stock transactions without complying the regulations required by the Securities Exchange Act.

In , Beloyan was suspended for 2 months by FINRA in connection with the sale of unregistered shares and low priced stock. In Beloyan was suspended for 10 days for distribution of correspondence recommending the purchase of securities without providing a sound basis for his recommendation of the stock. He is also associated with Beloyan Investment Securities, Inc.

If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

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Series 7 Exam Session 2 - Securities Laws

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December Davie, FL. The FINRA records of Mark B. Beloyan, a stockbroker with Tradespot Markets, Inc., disclose 3 prior regulatory. The Financial Industry Regulatory Authority (FINRA) is the agency that He is also associated with Beloyan Investment Securities, Inc. in Davie. March 15, Securities and Exchange Commission Fifth Street NW Washington DC Via Email: Rule-comments@forextradingrev.com Re: File.