Posts Tagged ‘U.S. District Court for the Southern District of New York’
SEC Bars Herbert Hafen, Broker Who Pled Guilty to Investment Fraud
The Securities and Exchange Commission (SEC) has barred former broker Herbert Hafen (CRD#: 867068), according to his BrokerCheck record accessed on March 25, 2020. This comes after he was barred by FINRA, was the subject of numerous customer complaints, and ultimately pled guilty to investment fraud. On September 4, 2019, before the U.S. District Court…
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