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

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

Kevin J. Deloatch, Esq.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 [...]

Corey Johnson Suspended by FINRA for Unauthorized Discretion In Customer Accounts

Corey Johnson Suspended by FINRA for Unauthorized Discretion In Customer Accounts

Kevin J. Deloatch, Esq.2026-08-05T12:12:26-05:00March 24th, 2021|Securities Law, FINRA - Broker Actions|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Corey Alexander Johnson (CRD # 5752206) was recently suspended from the securities [...]