Unsuitability2020-02-04T12:13:28-05:00

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 [...]

Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

By |April 10th, 2023|Tags: , , , , , , , , , , , , , , , , , , , , , , |

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 [...]

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

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

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]

Boustead Securities, LLC Sanctioned by FINRA After Investigation Regarding Supervisory System and Private Placements

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

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Boustead Securities, LLC (CRD # 141391) was recently sanctioned by FINRA’s Department [...]

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By |November 6th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

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