Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

2022-12-12T12:35:01-05:00December 12th, 2022|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mirsad Muharemovic (CRD # 3122589) was recently suspended from the securities industry [...]

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

2022-12-09T15:32:03-05:00December 9th, 2022|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]

Law Office of Kevin J. Deloatch, Esq. Investigating Purchases of Erin Energy Corporation Through Cabot Lodge Securities and Arben (“Ben”) Gecaj

2022-12-01T14:45:21-05:00November 5th, 2022|Markets and Products, Securities Law, Unsuitability|

The Law Office of Kevin J. Deloatch, Esq. is currently investigating recommended transactions in the common stock of Erin Energy Corporation through Cabot Lodge Securities LLC [...]

Eugene McAdams Barred from Securities Industry by FINRA After Suitability Investigation

2021-08-05T10:57:55-05:00August 5th, 2021|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Eugene McAdams (CRD # 4190211) was recently barred from the securities industry by [...]

J.W. Cole Financial, Inc. Sanctioned by FINRA For Failure to Supervise Sales of LJM Preservation & Growth Fund

2021-03-31T19:19:48-05:00March 31st, 2021|Improper Mutual Fund Sales Practices, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, J.W. Cole Financial, Inc. (CRD # 124583) was recently sanctioned by FINRA’s [...]

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