Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

2023-11-30T12:59:13-05:00November 30th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Clayton, Jr. (CRD # 2598586) was recently suspended from the securities [...]

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 [...]

Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

2023-04-17T11:47:15-05:00April 17th, 2023|Churning, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Edward Scott Short (CRD # 2462752) was recently suspended from the securities [...]

Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

2023-04-16T12:04:58-05:00April 16th, 2023|Churning, FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Lon Charles Faccini, Jr. (a/k/a Lon Charles Faccini) (CRD # 2736849) was [...]

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