Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Leonard Joseph Marzocco (CRD # 3106494) was recently suspended from the securities [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Dennis James Murphy (CRD # 4840274) was recently barred from the securities [...]
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 [...]
Stuart Blake Nichols Registered Rep Formerly with Raymond James & Associates, Inc. Has Been Sanctioned by FINRA for Failure to Cooperate with FINRA Investigation Publicly available [...]
Daniel Gordon Maughan, Registered Rep Formerly with Financial West Group Has Disciplinary Proceedings Brought Against Him by FINRA for Excessive Trading and Unsuitable Recommendations in Customer [...]
Gregory Thomas Dean, Registered Rep Formerly with Worden Capital Management LLC Has Disciplinary Proceedings Brought Against Him by FINRA for Excessive Trading/Churning in Customer Accounts Publicly [...]
