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Paul Godlewski Formerly of Allstate Financial Barred Over Outside Business Activities Investigation
5 May 2015, 7:02 am by Adam Weinstein
Consequently, Godlewski was barred by FINRA. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Investor Alert: Michael Inderlied Barred from the Securities Industry
2 Sep 2016, 7:16 am by D. Daxton White
For FINRA’s full findings see FINRA Case #2014040276902. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Wedbush Securities Regulatory Actions Explored Part III
21 Jan 2015, 5:56 am by Adam Weinstein
What were the failures to report that were claimed by FINRA? [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Leonard Allen Goldberg barred from securities industry.
16 Jun 2016, 10:38 am by D. Daxton White
For the full FINRA findings, see FINRA Case #2011026098504. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Damian Baird Suspended from the Securities Industry 
1 May 2023, 8:42 am by The White Law Group
  Damian Baird – FINRA BrokerCheck Profile     The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC & FINRA Propose Crowdfunding Rules: 585 Pages Worth! (Kill Me Now)
24 Oct 2013, 5:03 am by Broc Romanek
Here is FINRA's proposing release. [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
Investor Alert: Gerald Cipolla Barred from Securities Industry
14 Sep 2016, 7:57 am by D. Daxton White
For FINRA’s full finding see FINRA Case #2015046712301. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Bernardita Cortez Roque barred from securities industry.
23 Jun 2014, 11:25 am by D. Daxton White
Roque advised FINRA that she would not provide the documents and information or otherwise participate in FINRA’s investigation. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Allen Hugo Reichman barred from securities industry.
25 Jun 2014, 1:28 pm by D. Daxton White
Full the full findings, see FINRA Case #2010022584502. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
John Rothrock McKinstry Jr. barred from securities industry.
16 Jun 2016, 10:43 am by D. Daxton White
For the full FINRA findings, see FINRA Case #2015046315101. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Florlena Cortez barred from securities industry.
25 Jun 2014, 1:14 pm by D. Daxton White
Full the full findings, see FINRA Case #2012031460902. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Eric William Johnson barred from securities industry.
6 Jan 2015, 7:52 am by D. Daxton White
For the full FINRA case, see FINRA Case #2014042723401. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Reniero Castillo Francisco barred from securities industry.
20 Jun 2014, 11:22 am by D. Daxton White
For the full findings, see FINRA Case #2012032452701. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Jay John Soojian barred from securities industry.
16 Sep 2014, 8:44 am by D. Daxton White
For the full FINRA findings, see FINRA case #2012034353601. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA ANNOUNCES REGULATORY SWEEP ON MEANINGLESS "SENIOR SPECIALIST" DESIGNATIONS USED TO HOODWINK SENIORS
14 Sep 2007, 5:20 pm
Shapiro, CEO, FINRA, SEC Seniors Summit, September 10, 2007). [read post]
About Broker Fraud Blog - http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
FINRA Proposes Broker Hiring Bonus Disclosure Rule to SEC
19 Mar 2014, 1:14 pm by Jessica Brown
The compensation information reported to FINRA would not be available to the public under the Proposed Rule. [read post]
Investment Fund Law Blog - http://www.investmentfundlawblog.com/
Former Park Avenue Securities, LLC Broker Robert Michael Diehl Suspended by FINRA
5 Aug 2015, 2:06 pm by Adam Nicolazzo
  According to FINRA’s BrokerCheck report, Mr. [read post]
New York Securities Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
BROKER REPORT: Former California-based Raymond James Broker James Belenis Suspended by FINRA
23 Sep 2015, 6:40 am by Robert Van De Veire
Of these customer disputes, FINRA records indicate that two of Mr. [read post]
New York Securities Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
Investor Alert: Iorio Altamirano LLP Investigates B. Riley Wealth Management Inc. Over 529 Savings Plans
8 Jan 2021, 3:54 pm by Iorio Altamirano
(“BRWM”) customers after the firm was ordered to pay restitution of more than $250,000 by FINRA over supervisory failures related to its 529 plan share-class recommendations. [read post]
Iorio Altamirano - https://www.iorioaltamirano.com/blog/
Externship: Financial Industry Regulatory Authority
15 Nov 2010, 1:28 pm by Tom Kosakowski
(FINRA Careers.)Related post: Securities Broker-Dealers Indicate Dissatisfaction with FINRA OmbudsJob Posting. [read post]
The Ombuds Blog - http://ombuds-blog.blogspot.com/