Staff AttorneyJul 13, 20172 minFormer Voya Financial Broker Rodger Burskey Barred for Failing to Cooperate with Investigation involFormer Voya Financial broker, Rodger James Burskey (Burskey), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyFeb 18, 20172 minFormer Wells Fargo Broker Robert Batchen Suspended for Unauthorized and Unsuitable Trades in CustomeThe Financial Industry Regulatory Authority (FINRA) recently announced Robert James Batchen (Batchen) entered into a Letter of...
Staff AttorneyDec 21, 20162 minFINRA Suspends Former Met Life Securities Broker Robert Lappin for Unsuitable Short-Term UIT InvestmThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2015044670801) against former Met...
Staff AttorneyNov 7, 20162 minFINRA Suspends Investors Capital Broker Robert Estevez for Unsuitable Structured ProductsThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2014040158902) against Investors...