Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

2026-08-05T11:59:21-05:00April 16th, 2023|Securities Law, Churning, FINRA - Broker Actions, Fraud, Misrepresentation, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Lon Charles Faccini, Jr. (a/k/a Lon Charles Faccini) (CRD # 2736849) was [...]

Jose Candelario Padilla Suspended by FINRA from Securities Industry for Unsuitable Recommendations

2026-08-05T11:59:27-05:00April 12th, 2023|Securities Law, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jose Candelario Padilla (a/k/a Jose Candelario) (CRD # 4847560) was recently suspended [...]

Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

2026-08-05T11:59:29-05:00April 10th, 2023|Securities Law, Fraud, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dana Davis (CRD # 1707708) was recently suspended from the securities industry [...]

Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers

2026-08-05T11:59:31-05:00December 28th, 2022|Securities Law, Markets and Products, Misrepresentation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Moloney Securities Co., Inc. (CRD # 38535) was recently sanctioned by FINRA’s [...]

Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

2026-08-05T12:00:19-05:00December 12th, 2022|Securities Law, Churning, FINRA - Broker Actions, Fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mirsad Muharemovic (CRD # 3122589) was recently suspended from the securities industry [...]

Go to Top