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

2021-05-01T21:40:37-05:00May 1st, 2021|FINRA - Broker Actions, Fraud, Securities Law|

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 [...]

FINRA Brings Disciplinary Proceedings Against Julian Jay Piekarczyk for “Unethical Course of Conduct”

2020-07-01T11:22:22-05:00June 17th, 2020|Conflicts of Interest, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/advisor Julian Jay [...]

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