Blake Adam Levy Suspended from Securities Industry by FINRA for Unsuitable Private Placements

2023-09-28T08:52:35-05:00June 21st, 2023|FINRA - Broker Actions, Fraud, Improper Mutual Fund Sales Practices, Private Placements, Securities Law, Unsuitability|

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

2023-06-12T17:23:57-05:00June 12th, 2023|FINRA - Broker Actions, Fraud, Fraud in Underwriting, Private Placements, Securities Law|

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 [...]

Gary Goldberg Suspended by FINRA from Securities Industry for Unsuitable Recommendations

2023-04-13T10:31:24-05:00April 13th, 2023|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gary Mark Goldberg (CRD # 223919) was recently suspended from the securities [...]

Jose Candelario Padilla Suspended by FINRA from Securities Industry for Unsuitable Recommendations

2023-04-12T10:10:26-05:00April 12th, 2023|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jose Candelario Padilla (a/k/a Jose Candelario) (CRD # 4847560) was recently suspended [...]

Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

2022-12-12T12:35:01-05:00December 12th, 2022|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mirsad Muharemovic (CRD # 3122589) was recently suspended from the securities industry [...]

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

2022-12-09T15:32:03-05:00December 9th, 2022|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]

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