Jenny Xinfang Feng Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

2021-02-20T16:09:48-05:00February 20th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Jenny Xinfang Feng (CRD # 6312900) was recently suspended from the securities [...]

Gary Hammond Barred from the Securities Industry by FINRA Over Private Placement Offerings

2021-01-22T14:22:57-05:00January 22nd, 2021|FINRA - Broker Actions, Fraud, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Gary Hammond (CRD # 2660432) was recently barred from the securities industry [...]

Christian Lucchetto Suspended from the Securities Industry by FINRA for Churning

2021-01-21T15:32:15-05:00January 21st, 2021|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Christian Frank Lucchetto (CRD # 4648994) was recently suspended from the securities [...]

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 [...]

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