FINRA – Broker Actions2020-02-04T11:53:54-05:00

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

By |June 17th, 2021|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|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|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|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 [...]

Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations

By |May 24th, 2021|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 [...]

The O.N. Equity Sales Company Sanctioned for Failure to Supervise Sales of Variable Annuities

By |May 7th, 2021|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 [...]

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

By |May 1st, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Kevin David Barton (CRD # 2542056) was recently suspended from the securities [...]

John Lee Scott Barred from Securities Industry After FINRA Investigation Into Private Placements

By |April 30th, 2021|Tags: , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Lee Scott (CRD # 2407610) was recently barred from the securities [...]

Matthew Angelo Siliato Barred from Securities Industry After FINRA Investigation for Churning and Unauthorized Trading

By |April 30th, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Matthew Angelo Siliato (CRD # 5062153) was recently barred from the securities [...]

David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

By |April 29th, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Scott Fergang (CRD # 1758758) was recently suspended from the securities [...]

Go to Top