Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun
The Financial Industry Regulatory Authority (FINRA) recently announced Richard H. Yada (Yada) entered into a Letter of Acceptance, Waiver...
top of page
Search
Staff Attorney
- Oct 25, 2018
- 2 min
Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account
The Financial Industry Regulatory Authority (FINRA) recently announced Jonathan William Iraggi (Iraggi) entered into a Letter of...
6 views0 comments
Staff Attorney
- Oct 11, 2018
- 2 min
Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account
The Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...
2 views0 comments
Staff Attorney
- Dec 27, 2017
- 2 min
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,...
6 views0 comments
Staff Attorney
- Dec 18, 2017
- 2 min
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,...
7 views0 comments
Staff Attorney
- Dec 5, 2017
- 2 min
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...
13 views0 comments
Staff Attorney
- Dec 4, 2017
- 2 min
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...
3 views0 comments
Staff Attorney
- Nov 20, 2017
- 2 min
Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Stephen J. Kaufman (Kaufman) entered into a Letter of Acceptance,...
2 views0 comments
Staff Attorney
- Aug 3, 2017
- 2 min
Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Larry W. Farmbry (Farmbry) entered into a Letter of Acceptance,...
11 views0 comments
Staff Attorney
- Jun 9, 2017
- 2 min
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...
2 views0 comments
Staff Attorney
- Apr 8, 2017
- 2 min
Former Credit Suisse Broker Kai Chen Suspended for Unauthorized Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Kai Chen (Chen) entered into a Letter of Acceptance, Waiver and...
1 view0 comments
bottom of page