Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

2022-06-15T17:10:24-05:00June 15th, 2022|FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

2022-04-09T19:43:27-05:00April 9th, 2022|Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert David, Jr. (CRD # 5211223) was recently suspended from the securities [...]

William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

2022-02-10T09:08:57-05:00February 10th, 2022|Churning, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

2022-01-17T15:37:26-05:00December 15th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Scot Feigenbaum (CRD # 3132230) was recently suspended from the securities industry [...]

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

2022-01-27T21:47:27-05:00December 13th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]

Go to Top