December 15, 2023 – An AWC was issued in which Petrone was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Petrone consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA related to, among other issues, his trading in an elderly customer’s accounts and potential misappropriation from that customer. (FINRA Case #2023080246601)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
More about Matthew