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Financial Advisor Taek Man Chong Barred for Failing to Cooperate with FINRA Investigation
Former Raymond James financial advisor, Taek Man Chong (Chong), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
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Financial Advisor Bradley Tennison Barred for “Selling Away” an Investment
Former Geneos Wealth Management financial advisor, Bradley Joseph Tennison (Tennison), recently settled allegations with the Financial...
Christopher Lufrano
2 min read
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Financial Advisor Sean Brady Barred for Failing to Cooperate with FINRA Investigation
Former First Allied financial advisor, Sean Aaron Brady (Brady), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
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Forest Securities Broker David Apted Disciplined for Private Securities Transactions
David Apted (Apted), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which...
Christopher Lufrano
2 min read
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Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...
Christopher Lufrano
2 min read
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Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions
Terrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
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Legend Securities Broker Marlon Cole Disciplined for Churning and other Misconduct
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Marlon O. Cole (Cole) concerning allegations he...
Christopher Lufrano
2 min read
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Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
Robert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
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Financial Advisor Brittney Sias Barred for Failing to Cooperate with FINRA Investigation
Former Western International financial advisor, Brittney Jade Sias (Sias), recently settled allegations with the Financial Industry...
Christopher Lufrano
1 min read
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Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Scott Jason Wallach (Wallach) entered into a Letter of Acceptance,...
Christopher Lufrano
2 min read
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Former Securities America Broker Michael Crowe Disciplined for Private Securities Transactions
In October 2017, Michael A. Crowe (Crowe), a registered representative, settled a complaint with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
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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...
Christopher Lufrano
2 min read
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FINRA Brings Complaint against Ameritas Broker Thomas Lawrence for Personal Loan with Elderly Custom
Update: Without admitting or denying the allegations, Lawrence consented to the sanctions (two year suspension) and to the entry of...
Christopher Lufrano
2 min read
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Former LPL Financial Broker Roger Zullo Barred for Failing to Cooperate with Fraud Investigation
LPL Financial financial advisor, Roger Salvatore Zullo (Zullo), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
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FINRA Brings Complaint against Meyers Associates Broker Craig Langweiler for Potential Financial Mis
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Craig Gary Langweiler (Langweiler) in connection...
Christopher Lufrano
2 min read
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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)...
Christopher Lufrano
2 min read
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Former Oppenheimer Broker Jason Likens Disciplined for Borrowing from Elderly Customer
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Jason Hunter Likens...
Christopher Lufrano
2 min read
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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...
Christopher Lufrano
1 min read
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FINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment Recommenda
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Cetera financial advisor Christopher...
Christopher Lufrano
2 min read
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Former Merrill Lynch Broker Blake King Barred for Failing to Cooperate with Investigation involving
Merrill Lynch financial advisor, Blake P. King (King), recently settled allegations with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
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