Private Placements2020-02-04T12:15:30-05:00

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 [...]

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 [...]

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 [...]

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 [...]

Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

By |June 22nd, 2022|Tags: , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Torch Securities, LLC (CRD # 133642) was recently sanctioned by FINRA’s Department [...]

CIM Securities, LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

By |February 1st, 2022|Tags: , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, CIM Securities, LLC (CRD # 120852) was recently sanctioned by FINRA’s Department [...]

Cynthia Komarek Barred from The Securities Industry by FINRA for Refusing to Cooperate In Investigation

By |June 17th, 2021|Tags: , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Cynthia Komarek (CRD # 1188714) was recently barred from the securities industry by FINRA’s [...]

Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation

By |June 16th, 2021|Tags: , , , , , , , , , , , , , , , |

Go to Top