Boustead Securities, LLC Sanctioned by FINRA After Investigation Regarding Supervisory System and Private Placements

2023-04-21T12:43:03-05:00November 16th, 2022|Fraud, Private Placements, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Boustead Securities, LLC (CRD # 141391) was recently sanctioned by FINRA’s Department [...]

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

2022-11-06T19:00:31-05:00November 6th, 2022|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

2022-09-04T14:24:03-05:00September 4th, 2022|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Russ Kory (CRD # 5901185) was recently suspended from the securities industry [...]

Berthel, Fisher & Co. Financial Services, Inc. Sanctioned by FINRA for Failure to Perform Due Diligence

2022-06-21T08:11:27-05:00June 21st, 2022|Markets and Products, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Berthel, Fisher & Co. Financial Services, Inc. (CRD # 13609) was recently [...]

Go to Top