CIM Securities, LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

2022-02-01T21:38:45-05:00February 1st, 2022|Private Placements, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, CIM Securities, LLC (CRD # 120852) was recently sanctioned by FINRA’s Department [...]

Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

2022-01-17T15:37:26-05:00December 15th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Scot Feigenbaum (CRD # 3132230) was recently suspended from the securities industry [...]

Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

2021-08-22T07:02:35-05:00August 21st, 2021|Fraud, Securities Law|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/investment advisor, Matthew O. Clason (CRD # [...]

Walter Allen Barred from Securities Industry by FINRA After Refusing to Cooperate In Unauthorized Discretion Investigation

2022-02-01T21:58:20-05:00August 9th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Walter Morrow Allen (CRD # 1344149) was recently barred from the securities industry [...]

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

2021-07-18T11:23:25-05:00July 18th, 2021|Improper Mutual Fund Sales Practices, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, NEXT Financial Group, Inc. (CRD # 46214) was recently sanctioned by FINRA’s Department [...]

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

2021-07-13T17:53:45-05:00July 13th, 2021|Churning, FINRA - Broker Actions, Securities Law, 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 [...]

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