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...
Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou
Foothill Securities Censured and Fined for Real Estate Investment Trusts Supervision
Former Credit Suisse Broker Kai Chen Suspended for Unauthorized Trades in Customers’ Accounts
Former LPL Broker Michael Babyak Disciplined for Private Securities transactions
Former Merrill Lynch Broker Alphonso Papa Barred for Failing to Cooperate with Investigation
Former LPL Broker Joseph Likens Barred for Failing to Cooperate with Investigation involving Private
Former Wells Fargo Broker Robert Batchen Suspended for Unauthorized and Unsuitable Trades in Custome
FINRA Brings Complaint against National Securities Corporation Broker Glenn McDowell for Unauthorize
Former Raymond James Broker Richard Sampley Disciplined for Recommendations in Renewable Energy Comp
FINRA Suspends Former Met Life Securities Broker Robert Lappin for Unsuitable Short-Term UIT Investm
FINRA Suspends Investors Capital Broker Robert Estevez for Unsuitable Structured Products
Former LPL Broker Russell Sadler Disciplined for Outside Business Activities and Private Securities