Categories2020-02-04T12:02:55-05:00

Cynthia Komarek Barred from The Securities Industry by FINRA for Refusing to Cooperate In Investigation

By |June 17th, 2021|Categories: FINRA - Broker Actions, Private Placements, Securities Law|Tags: , , , , , , , , , , , , , , , , |

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

By |June 16th, 2021|Categories: FINRA - Broker Actions, Private Placements, Securities Law, Uncategorized|Tags: , , , , , , , , , , , , , , , |

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

By |June 15th, 2021|Categories: Churning, FINRA - Broker Actions, Securities Law|Tags: , , , , , , , , , , , , , , , , , , , , , , , , |

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

By |June 12th, 2021|Categories: FINRA - Broker Actions, Securities Law|Tags: , , , , , , , , , , , , , , , , , , , , , , |

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

By |June 1st, 2021|Categories: Private Placements, Securities Law|Tags: , , , , , , , , , , , , , , , , , , , |

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

By |May 26th, 2021|Categories: Securities Law|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

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

By |May 24th, 2021|Categories: Churning, FINRA - Broker Actions, Securities Law, Unsuitability|Tags: , , , , , , , , , , , , , , , , , , , , , , , |

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

By |May 10th, 2021|Categories: Securities Law|Tags: , , , , , , , , , , , , , , , , , , |

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

By |May 7th, 2021|Categories: FINRA - Broker Actions, Securities Law|Tags: , , , , , , , , , , , , , , , , , |

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

By |May 6th, 2021|Categories: Assault, Criminal Law|Tags: , , , , , , , , , , , , |

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 [...]

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