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

2021-06-17T13:31:00-05:00June 17th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

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

2021-06-16T19:06:59-05:00June 16th, 2021|FINRA - Broker Actions, Private Placements, Securities Law, Uncategorized|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Grant C. Birkley (CRD # 2933533) was recently barred from the securities industry by [...]

Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

2021-06-15T15:46:40-05:00June 15th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]

Matthew Angelo Siliato Barred from Securities Industry After FINRA Investigation for Churning and Unauthorized Trading

2021-04-30T10:05:33-05:00April 30th, 2021|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Matthew Angelo Siliato (CRD # 5062153) was recently barred from the securities [...]

Corey White Barred from All Principal Capacities by FINRA for Failure to Supervise Unsuitable and Excessive Trading

2021-03-22T16:12:42-05:00March 22nd, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser and former Chief Compliance Officer Corey Andrew White (CRD # 4537015) was [...]

Charles Kenahan Barred from the Securities Industry by FINRA After Churning Investigation

2021-01-25T20:33:57-05:00January 25th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser Charles Kenahan (CRD # 1351974) was recently barred from the securities [...]

Gary Hammond Barred from the Securities Industry by FINRA Over Private Placement Offerings

2021-01-22T14:22:57-05:00January 22nd, 2021|FINRA - Broker Actions, Fraud, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Gary Hammond (CRD # 2660432) was recently barred from the securities industry [...]

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