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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...
Christopher Lufrano
2 min read
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Former Wells Fargo Broker Robert Batchen Suspended for Unauthorized and Unsuitable Trades in Custome
The Financial Industry Regulatory Authority (FINRA) recently announced Robert James Batchen (Batchen) entered into a Letter of...
Christopher Lufrano
2 min read
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FINRA Suspends Former Met Life Securities Broker Robert Lappin for Unsuitable Short-Term UIT Investm
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2015044670801) against former Met...
Christopher Lufrano
2 min read
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FINRA Suspends Investors Capital Broker Robert Estevez for Unsuitable Structured Products
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2014040158902) against Investors...
Christopher Lufrano
2 min read
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