Tag Archives: Adirondack Trading Group LLC

Adirondack Trading Group Stockbroker Barred In Investigation

September 09, 2016  |   Posted by :   |   Annuity Schemes, Elder Abuse   |   0 Comments

Michael B. Inderlied, of New Woodstock, New York, a stockbroker with Adirondack Trading Group LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he obstructed an investigation into allegations of his unsuitable investment recommendations to customers. Letter of Acceptance, Waiver and […]

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Adirondack Trading Group Stockbroker Barred In Investigation

September 08, 2016  |   Posted by :   |   Annuity Schemes, Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

Timothy N. Payne, of New Woodstock, New York, a stockbroker with Adirondack Trading Group LLC, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he obstructed an investigation into allegations of Payne’s unsuitable investment recommendations. Letter of Acceptance, Waiver and Consent, No. 2014040289802 (Sept. […]

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Adirondack Trading Group Broker Barred In Note Investigation

Wayne Anthony Shultz, of Branchburg, New Jersey, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities after consenting to findings that he obstructed a FINRA investigation into notes that Schultz issued a client. Letter of Acceptance, Waiver and Consent, No. 2015044640601 (Feb. 5, 2016). According to the AWC, on […]

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