Jenny Xinfang Feng Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

2021-02-20T16:09:48-05:00February 20th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Jenny Xinfang Feng (CRD # 6312900) was recently suspended from the securities [...]

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 [...]

Timothy James Pandekakes Suspended from the Securities Industry by FINRA

2020-12-18T12:06:18-05:00December 18th, 2020|FINRA - Broker Actions, Markets and Products, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Timothy James Pandekakes (CRD # 4890164) was recently suspended 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 [...]

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