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

2026-08-05T11:52:11-05:00September 14th, 2023|Securities Law, FINRA - Broker Actions, Fraud|

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 [...]

Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

2026-08-05T12:08:19-05:00July 28th, 2021|Securities Law, FINRA - Broker Actions, 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 [...]

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

2026-08-05T12:09:19-05:00July 13th, 2021|Securities Law, Churning, FINRA - Broker Actions, 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

2026-08-05T12:09:24-05:00June 12th, 2021|Securities Law, FINRA - Broker Actions|

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 [...]

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

2026-08-05T12:09:40-05:00May 1st, 2021|Securities Law, FINRA - Broker Actions, Fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Kevin David Barton (CRD # 2542056) was recently suspended from the securities [...]

David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

2026-08-05T12:09:46-05:00April 29th, 2021|Securities Law, FINRA - Broker Actions|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Scott Fergang (CRD # 1758758) was recently suspended from the securities [...]

Go to Top