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FINRA Bars Robert Todd Clark for Failing to Cooperate with Investigation Regarding Stolen Customer F
Former Moors & Cabot financial advisor, Robert Todd Clark (Clark), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
Financial Advisor Juergen Weber Barred for Unsuitable Investment Recommendations to Customers
Former Benjamin & Jerold financial advisor, Juergen Weber (Weber), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
Former AISG Financial Advisor Thomas Logue Barred for Potential Violations of Federal Securities Law
Former AISG financial advisor, Thomas Joseph Logue, Jr. (Logue), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
Financial Advisor Charles Lewis Bloom Barred for Unsuitable Investment Recommendations to Customers
Former Chelsea Financial financial advisor, Charles Lewis Bloom (Bloom), recently settled allegations with the Financial Industry...
Christopher Lufrano
2 min read
Financial Advisor Alex Herrera Barred for Outside Business Activities and Private Transactions
Former UBS financial advisor, Alex Gerardo Herrera (Herrera), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
Financial Advisor Clarence McGill Barred for Unsuitable Investment Recommendations to Customers
Former GWN Securities financial advisor, Clarence L McGill (McGill), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
Financial Advisor Steven Coffey Barred for Promissory Notes Sold to Customers
Former First American financial advisor, Steven F Coffey (Coffey), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
Financial Advisor Paul Soll Barred for Unsuitable Trades in Elderly Customer’s Account
Former FWG financial advisor, Paul Edward Soll (Soll), recently settled allegations with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
Financial Advisor Steven Knuttila Barred for Alleged Unsuitable Transactions
Former Capital Financial financial advisor, Steven Roland Knuttila (Knuttila), recently settled allegations with the Financial Industry...
Christopher Lufrano
2 min read
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
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
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
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
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
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
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
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
James R. Schaedler Barred for Failing to Cooperate with Investigation involving Elderly Client’s Est
Former Wells Fargo financial advisor, James R. Schaedler, Jr. (Schaedler), recently consented to a permanent bar from the Financial...
Christopher Lufrano
2 min read
Former Bolton Global Broker Paul Smith Barred for Failing to Cooperate with Investigation involving
Bolton Global financial advisor, Paul Wescoe Smith (Smith), recently settled allegations with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
Former Edward Jones Broker Michael Mason Barred for Failing to Cooperate with Investigation involvin
Former Edward Jones broker, Michael Jean-Paul Mason (Mason), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
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