Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

2021-07-28T15:43:03-05:00July 28th, 2021|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gilbert Anthony Kuta (CRD # 1084075) was recently suspended from the securities [...]

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

2021-07-18T11:23:25-05:00July 18th, 2021|Improper Mutual Fund Sales Practices, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, NEXT Financial Group, Inc. (CRD # 46214) was recently sanctioned by FINRA’s Department [...]

Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

2021-07-13T17:53:45-05:00July 13th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Douglas Edward Szempruch (CRD # 4159318) was recently suspended from the securities industry [...]

Matthew G. Zanowiak Suspended From Securities Industry By FINRA for Unauthorized Discretion

2021-06-12T16:26:25-05:00June 12th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew G. Zanowiak (CRD # 1142281) was recently suspended from the securities industry by [...]

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