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 [...]

Carlton & Associates, Inc. Sanctioned by FINRA for Failure to Supervise Sales of Volatility-Linked ETPs

2021-05-26T15:28:19-05:00May 26th, 2021|Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Carlton & Associates, Inc. (CRD # 20999) was recently sanctioned by FINRA’s [...]

Brett Briggs Barred from the Securities Industry for Failure to Supervise by FINRA

2021-03-26T10:30:35-05:00December 22nd, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker/adviser Brett Briggs (CRD # 1226255) was recently barred from the securities [...]

NPB Financial Group, LLC Sanctioned by the SEC for Breach of Fiduciary Duty

2020-08-25T10:13:02-05:00August 25th, 2020|Conflicts of Interest, Improper Mutual Fund Sales Practices, Markets and Products, Securities Law|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, NPB Financial Group, LLC [...]

SagePoint Financial, Inc. Sanctioned by FINRA for Failure to Supervise Regarding UIT’s

2020-06-28T14:50:57-05:00June 15th, 2020|Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, SagePoint Financial, Inc. (hereinafter “SagePoint”) (CRD # 133763) was recently sanctioned by [...]

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