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

Raymond William Clark Barred from Securities Industry by FINRA After Investigation

By |August 19th, 2023|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA), indicate that broker/advisor, Raymond William Clark (CRD # 2865619) was recently barred from the securities [...]

Blake Adam Levy Suspended from Securities Industry by FINRA for Unsuitable Private Placements

By |June 21st, 2023|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blake Adam Levy (CRD # 4593636) was recently suspended from the securities [...]

Michelle Wu Suspended from Securities Industry by FINRA for Unauthorized Discretion

By |June 19th, 2023|Tags: , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michelle Wu (CRD # 3046373) was recently suspended from the securities industry [...]

Thomas Diamante Suspended from Securities Industry by FINRA After Investigation of Private Placement Offerings

By |June 12th, 2023|Tags: , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Thomas Diamante (CRD # 1645257) was recently suspended from the securities industry [...]

Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

By |April 16th, 2023|Tags: , , , , , , , , , , , , , , , , , , , , , , , , |

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 [...]

Gary Goldberg Suspended by FINRA from Securities Industry for Unsuitable Recommendations

By |April 13th, 2023|Tags: , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gary Mark Goldberg (CRD # 223919) was recently suspended from the securities [...]

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

By |April 12th, 2023|Tags: , , , , , , , , , , , , , , , , , , , , |

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 [...]

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