An AWC was issued in which Robert Allen Koestler (CRD #7023515) was barred from association with any FINRA member in all capacities. Koestler consented to the sanction without admitting or denying the findings. He also consented to the entry of finding that he “refused to appear for on-the-record testimony requested by FINRA in connection with its investigation that originated from an amended Form U5 filed by his member firm that disclosed that he was subject to an internal review concerning his involvement with potential unauthorized trades and marking solicited trades as unsolicited.”
(FINRA Case #2021070890101)
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.
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