Shahab TagnaviDinani Suspended by FINRA from Securities Industry for Unauthorized Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Shahab TagnaviDinani (CRD # 2503652) was recently suspended from the securities industry [...]
Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Edward Scott Short (CRD # 2462752) was recently suspended from the securities [...]
Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning
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
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
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 [...]
Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dana Davis (CRD # 1707708) was recently suspended from the securities industry [...]
Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Moloney Securities Co., Inc. (CRD # 38535) was recently sanctioned by FINRA’s [...]
Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Leonid Yurovsky (CRD # 4554905) was recently suspended from the securities industry [...]
Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that introducing broker-dealer, Coastal Equities, Inc. (CRD # 23769) was recently sanctioned by FINRA’s [...]
Increased Scrutiny of Securities Recommendations by Social Media Influencers
Securities regulators and law enforcement have stepped up their efforts in combating securities fraud through social media influencers and their recommendations. The rise of social media [...]