FINRA Brings Disciplinary Proceedings Against Kishan Parikh for Excessive and Unsuitable Trading

2021-03-19T14:11:03-05:00March 19th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker Kishan Parikh [...]

FINRA Brings Disciplinary Proceedings Against Julian Jay Piekarczyk for “Unethical Course of Conduct”

2020-07-01T11:22:22-05:00June 17th, 2020|Conflicts of Interest, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/advisor Julian Jay [...]

FINRA Brings Disciplinary Proceedings Against Steven Robert Luftschein

2020-05-24T17:19:04-05:00May 17th, 2020|Churning, FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has brought disciplinary proceedings against broker/advisor Steven Robert Luftschein [...]

James William Flower Investigated by FINRA for Churning and Unauthorized Trading

2020-04-12T13:34:00-05:00April 12th, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor James William Flower (CRD # 2817701) was recently the subject of disciplinary [...]

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