Gustavo Rodrigo III Suspended from Securities Industry by FINRA for Unauthorized Discretion

2023-09-14T16:50:21-05:00September 14th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gustavo Rodrigo III (CRD # 3031284) was recently suspended from the securities industry by [...]

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 [...]

Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

2023-04-12T09:35:48-05:00April 10th, 2023|Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dana Davis (CRD # 1707708) was recently suspended from the securities industry [...]

Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers

2022-12-28T18:00:02-05:00December 28th, 2022|Markets and Products, Misrepresentation, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Moloney Securities Co., Inc. (CRD # 38535) was recently sanctioned by FINRA’s [...]

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