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    Search
    Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun
    Staff Attorney
    • Nov 10, 2018
    • 2 min

    Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun

    The Financial Industry Regulatory Authority (FINRA) recently announced Richard H. Yada (Yada) entered into a Letter of Acceptance, Waiver...
    3 views0 comments
    Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account
    Staff Attorney
    • Oct 25, 2018
    • 2 min

    Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account

    The Financial Industry Regulatory Authority (FINRA) recently announced Jonathan William Iraggi (Iraggi) entered into a Letter of...
    4 views0 comments
    Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account
    Staff Attorney
    • Oct 11, 2018
    • 2 min

    Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account

    The Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...
    2 views0 comments
    Financial Advisor Eric Korhut Suspended for Discretionary Trades in Customers’ Accounts
    Staff Attorney
    • Oct 5, 2018
    • 2 min

    Financial Advisor Eric Korhut Suspended for Discretionary Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Eric Steven Korhut (Korhut) entered into a Letter of Acceptance,...
    8 views0 comments
    Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts
    Staff Attorney
    • Dec 27, 2017
    • 2 min

    Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...
    5 views0 comments
    Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts
    Staff Attorney
    • Dec 18, 2017
    • 2 min

    Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Scott Jason Wallach (Wallach) entered into a Letter of Acceptance,...
    6 views0 comments
    Financial Advisor Joel Davidman Suspended for Discretionary Trades in Customers’ Accounts
    Staff Attorney
    • Dec 5, 2017
    • 2 min

    Financial Advisor Joel Davidman Suspended for Discretionary Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Joel David Davidman (Davidman) entered into a Letter of...
    13 views0 comments
    Former H. Beck Broker Peter Doyle Barred for Failing to Cooperate with Investigation involving Discr
    Staff Attorney
    • Nov 30, 2017
    • 2 min

    Former H. Beck Broker Peter Doyle Barred for Failing to Cooperate with Investigation involving Discr

    H. Beck financial advisor, Peter J. Doyle (Doyle), recently settled allegations with the Financial Industry Regulatory Authority (FINRA)...
    3 views0 comments
    Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts
    Staff Attorney
    • Nov 20, 2017
    • 2 min

    Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Stephen J. Kaufman (Kaufman) entered into a Letter of Acceptance,...
    1 view0 comments
    Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts
    Staff Attorney
    • Aug 3, 2017
    • 2 min

    Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Larry W. Farmbry (Farmbry) entered into a Letter of Acceptance,...
    11 views0 comments
    Former Voya Financial Broker Rodger Burskey Barred for Failing to Cooperate with Investigation invol
    Staff Attorney
    • Jul 13, 2017
    • 2 min

    Former Voya Financial Broker Rodger Burskey Barred for Failing to Cooperate with Investigation invol

    Former Voya Financial broker, Rodger James Burskey (Burskey), recently settled allegations with the Financial Industry Regulatory...
    1 view0 comments
    Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou
    Staff Attorney
    • Jun 9, 2017
    • 2 min

    Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou

    ​The Financial Industry Regulatory Authority (FINRA) recently announced John Fotis Valliades (Valliades) entered into a Letter of...
    2 views0 comments
    Staff Attorney
    • Apr 8, 2017
    • 2 min

    Former Credit Suisse Broker Kai Chen Suspended for Unauthorized Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Kai Chen (Chen) entered into a Letter of Acceptance, Waiver and...
    1 view0 comments
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