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Oct 12, 2018
2 min

FINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment Recommendati

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Morgan Stanley and current Wells Fargo fina...

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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 Acceptance...

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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) ...

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Former Morgan Stanley Broker Anthony Verzi Barred for Failing to Cooperate with Investigation involv

Staff Attorney

Nov 28, 2017
1 min

Former Morgan Stanley Broker Anthony Verzi Barred for Failing to Cooperate with Investigation involv

Morgan Stanley financial advisor, Anthony Joseph Verzi (Verzi), recently settled allegations with the Financial Industry Regulatory Autho...

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FINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment Recommendati

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

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

Former Morgan Stanley Broker Anthony Verzi Barred for Failing to Cooperate with Investigation involv

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