Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

2021-06-15T15:46:40-05:00June 15th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]

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 [...]

John Westbrook Suspended From the Securities Industry by FINRA

2020-11-22T22:35:59-05:00November 21st, 2020|FINRA - Broker Actions, Markets and Products, Private Placements, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser John Westbrook (CRD # 1846059) was recently suspended from the securities industry [...]

Leonard Joseph Marzocco Suspended by FINRA for Excessive and Unsuitable Trading

2020-07-05T16:26:35-05:00July 5th, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Leonard Joseph Marzocco (CRD # 3106494) was recently suspended from the securities [...]

Albert Dishner Suspended by FINRA for Unauthorized Trading in Equities and Options Securities

2020-06-28T14:35:06-05:00June 20th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Albert Dishner (CRD No. 1912362) was recently suspended from the securities industry [...]

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