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8 Jun 2021, 11:57 am
., Inc. broker Matthew Zanowiak from the securities industry for ten business days for exercising discretion without written authorization in approximately 15 customer accounts. [read post]
11 Aug 2021, 1:56 pm
Inc. broker Cesar Hurtado from the securities industry for 45 days. [read post]
5 Feb 2018, 1:37 pm
Broker Coleman J. [read post]
5 May 2021, 10:37 am
Calton & Associates, Inc. is a Florida-based broker-dealer. [read post]
3 May 2021, 2:45 pm
., Inc. broker Paul Spero from the securities industry for 15 business days for exercising discretion without written authorization in approximately 70 customer accounts. [read post]
23 Mar 2022, 9:44 am
The post New York Broker Marc Reda, Spartan Capital, Charged with Churning Clients’ Accounts appeared first on The White Law Group. [read post]
24 Oct 2022, 9:04 am
He is not currently registered as a broker, according to FINRA. [read post]
22 Aug 2016, 2:23 pm
It was reported by Reuters on August 20, 2016 that the Financial Industry Regulatory Authority (FINRA) filed a complaint against a broker alleging that they broker engaged in unauthorized trading in the account of a senior aged investor. [read post]
5 Jun 2023, 5:50 am
The Financial Industry Regulatory Authority Inc. alleged that Todd Anthony Cirella and Edward Scott Short traded in senior customers’ accounts at a level that was “excessive, unsuitable, [...] [read post]
13 Aug 2018, 11:28 am
(CRD #44952) and Tryco Securities, Inc. [read post]
1 Jul 2015, 1:50 pm
If your broker has made unauthorized transactions in your account, contact Lax & Neville LLP today at (212) 696-1999 and schedule a consultation. [read post]
21 May 2019, 1:46 pm
Broker David Fagenson Under Investigation for Unsuitable Recommendations in Elderly Customer Accounts appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Mar 2021, 11:01 am
Jensen engaged in the following conduct in violation of FINRA rules: Jensen was the broker of record for several accounts held by a customer who was a widow and in her 90s. [read post]
13 Aug 2021, 2:40 pm
Continue reading The post Former Worden Capital Management LLC Broker, John Cangialosi, Suspended by FINRA for Excessively Trading 3 Accounts appeared first on Securities Arbitration Lawyer Blog. [read post]
17 May 2021, 12:00 pm
Broker, Bill Dixon, BARRED from the Securities Industry by FINRA – Urbana, Ohio appeared first on Securities Arbitration Lawyer Blog. [read post]
21 Jun 2022, 1:21 pm
The post Aegis Capital Brokers Arkady Ginsburg And Scott Hananel Accused of Churning Customer Accounts appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: According to a survey by InvestmentNews for 2013, the top five Independent broker-dealers firms ranked by total account assets are: LPL Financial, with total account assets of $437,906.7 M Raymond James Financial Services Inc., with total account assets of $191,660.5M Northwestern Mutual, with total account assets of $100,090.9M Commonwealth Financial Network, with… [read post]
5 Jan 2021, 12:18 pm
Texas Securities Board Charges The Investment Center Inc. with Failure to Supervise August 2016 – The Texas State Securities Board ordered The Investment Center, Inc. a securities dealer located in Bedminster, New Jersey and registered in Texas to pay $50,000 for allegedly failing to supervise a broker who overloaded clients’ accounts with energy stocks. [read post]
William Michero, Formerly with Cambridge Investment Research, Inc., BARRED by FINRA – Fort Worth, TX
23 Sep 2021, 4:07 pm
FINRA has barred former Cambridge Investment Research, Inc. broker William Michero from the securities industry. [read post]
31 Jan 2019, 7:56 am
His previous employers are First Union Brokerage Services, Inc. [read post]
