Scott Neil Hananel

Date:

April 22, 2022

Type of alert:

FINRA AWC  

Scott Neil Hananel recently entered into a FINRA Acceptance, Waiver, and Consent. Hananel allegedly engaged in excessive and unsuitable trading in six Aegis customer accounts. He also allegedly exercised discretionary authority in at least six accounts without written authorization. Hananel consented, without confirming or denying the allegations, to a 15-month suspension and a $7,500 fine.

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