Fraud2020-02-04T12:12:24-05:00

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

By |June 26th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

By |June 24th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, McDonald Partners LLC (CRD # 135414) was recently sanctioned by FINRA’s Department [...]

Charles Baker Barred from Securities Industry by FINRA After Investigation

By |June 16th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

By |June 15th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

By |June 14th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Ian Phillip Lowrey (CRD # 6367392) was recently suspended from the securities [...]

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By |June 13th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

By |June 12th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Walter Waitak Light (CRD # 1494331) was recently suspended from the securities [...]

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

By |April 9th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert David, Jr. (CRD # 5211223) was recently suspended from the securities [...]

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