Cynthia Komarek Barred from The Securities Industry by FINRA for Refusing to Cooperate In Investigation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Cynthia Komarek (CRD # 1188714) was recently barred from the securities industry by FINRA’s [...]
Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Grant C. Birkley (CRD # 2933533) was recently barred from the securities industry by [...]
Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]
Matthew G. Zanowiak Suspended From Securities Industry By FINRA for Unauthorized Discretion
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew G. Zanowiak (CRD # 1142281) was recently suspended from the securities industry by [...]
Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Bradley Woods & Co. Ltd. (CRD # 13660) was recently sanctioned by [...]
Carlton & Associates, Inc. Sanctioned by FINRA for Failure to Supervise Sales of Volatility-Linked ETPs
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Carlton & Associates, Inc. (CRD # 20999) was recently sanctioned by FINRA’s [...]
Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Carl George Antaki (CRD # 4177543) was recently suspended from the securities [...]
UnionBanc Investment Services, LLC Sanctioned for Failure to Supervise Sales of Variable Annuities
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, UnionBanc Investment Services, LLC (CRD # 14455) was recently sanctioned by FINRA’s [...]
The O.N. Equity Sales Company Sanctioned for Failure to Supervise Sales of Variable Annuities
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The O.N. Equity Sales Company (CRD # 2936) was recently sanctioned by [...]
New York Criminal Defense Attorney – Domestic Violence Assault
If you or someone you know has been wrongfully accused of domestic violence assault in New York, hiring a good criminal defense attorney is a necessity [...]