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FINRA Disciplinary Actions Online

Displaying 1 - 2 of 2
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016051583101 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYAN G. MAZLIACH (CRD No. 5518438), Respondent. Disciplinary Proceeding No. 2016051583101 Hearing Officer - BEK AMENDED DEFAULT DECISION January 20, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for recommending and effecting an unsuitable investment strategy to OHO Decisions
Bryan G. Mazliach
01/20/2021
2016051583101 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bryan G. Mazliach (CRD No. 5518438), Respondent. Disciplinary Proceeding No. 2016051583101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2015 through July 2017 (the “Relevant Period”), Respondent Bryan G. Mazliach, while associated with FINRA member firm, Laidlaw & Company (UK) LTD (CRD No. 119037), excessively and unsuitably traded five customers’ accounts by recommending and Complaints
Bryan G. Mazliach
09/08/2020