Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers
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 [...]
Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Leonid Yurovsky (CRD # 4554905) was recently suspended from the securities industry [...]
Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that introducing broker-dealer, Coastal Equities, Inc. (CRD # 23769) was recently sanctioned by FINRA’s [...]
Increased Scrutiny of Securities Recommendations by Social Media Influencers
Securities regulators and law enforcement have stepped up their efforts in combating securities fraud through social media influencers and their recommendations. The rise of social media [...]
Michael G. DeLuca Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael G. DeLuca (CRD # 4428054) was recently suspended from the securities [...]
Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading
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 [...]
Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]
Patrick Perugino Suspended from Securities Industry by FINRA for Unauthorized Discretion
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Patrick Perugino (CRD # 6363411) was recently suspended from the securities industry [...]
FFEC Wealth Partners LLC Sanctioned by FINRA for Failure to Supervise Regarding Margin and Mutual Funds
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, FFEC Wealth Partners LLC (CRD # 16507) was recently sanctioned by FINRA’s [...]
Robert Allen Koestler Barred from Securities Industry by FINRA for Failing to Cooperate in Unauthorized Trading Investigation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Allen Koestler (CRD # 7023515) was recently barred from the securities [...]