George L. Taylor Barred from the Securities Industry by the SEC
Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/investment advisor, George L. Taylor (CRD # [...]
The SEC Revokes the Registration of Investment Advisory Firm Temenos Investment Advisory, Inc.
Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, Temenos Advisory, Inc. (CRD [...]
Robert Russel Tweed Barred by the SEC from the Securities Industry
Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/adviser, Robert Russel Tweed (CRD # 2339324) [...]
Eugene James Long Suspended from the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that general securities representative Eugene James Long (CRD # 2386267) was recently suspended from [...]
Leonard Joseph Marzocco Suspended by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Leonard Joseph Marzocco (CRD # 3106494) was recently suspended from the securities [...]
Michael Joseph Iannarino Permanently Barred from the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Michael Joseph Iannarino (CRD # 1258453) was recently permanently barred from the [...]
Frank Venturelli Suspended by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Frank Venturelli (CRD # 6403468) was recently suspended from the securities industry [...]
Albert Dishner Suspended by FINRA for Unauthorized Trading in Equities and Options Securities
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Albert Dishner (CRD No. 1912362) was recently suspended from the securities industry [...]
FINRA Brings Disciplinary Proceedings Against Julian Jay Piekarczyk for “Unethical Course of Conduct”
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/advisor Julian Jay [...]
Robert Silverman Suspended from the Securities Industry by FINRA for Unauthorized Transactions
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert Silverman (CRD # 4582993) was recently suspended from the securities industry [...]