Staff AttorneyJun 18, 20192 minFormer David A. Noyes Financial Advisor Sam Aziz Barred for Unsuitable and Excessive TradingFormer David A. Noyes & Company financial advisor, Sam Aziz (Aziz), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyApr 18, 20192 minFinancial Advisor Juergen Weber Barred for Unsuitable Investment Recommendations to CustomersFormer Benjamin & Jerold financial advisor, Juergen Weber (Weber), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyDec 7, 20182 minFINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment RecommendaThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S....
Staff AttorneyNov 24, 20182 minFormer AISG Financial Advisor Thomas Logue Barred for Potential Violations of Federal Securities LawFormer AISG financial advisor, Thomas Joseph Logue, Jr. (Logue), recently settled allegations with the Financial Industry Regulatory...