The SEC Files Civil Suit Against Individual for Social Media Securities Fraud
The Securities and Exchange Commission (SEC) has been focusing its attention on the use of social media as a tool for securities fraud, in the wake [...]
Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age
GameStop Corp. (GME), AMC Entertainment Holdings (AMC) and BlackBerry Ltd. (BB) have seen their stock prices rise dramatically over the past few weeks after being the [...]
Paul F. Seymour Suspended from the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Paul F. Seymour (CRD # 2002154) was recently suspended from the securities [...]
Serge Parakhnevich Suspended from the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Serge Parakhnevich (CRD # 5493064) was recently suspended from the securities industry [...]
Christopher Duke Bennett Barred From the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Christopher Duke Bennett (CRD # 2510231) was recently barred from the securities [...]
Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Chardan Capital Markets, LLC (hereinafter “Chardan”) (CRD # 120128) was recently sanctioned [...]
Leonard Joseph Marzocco Suspended by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Leonard Joseph Marzocco (CRD # 3106494) was recently suspended from the securities [...]
Robert James McNamara Suspended by FINRA for Unauthorized Discretion in Customer Accounts
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert James McNamara (CRD # 1207495) was recently suspended from the securities [...]
Frank Venturelli Suspended by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Frank Venturelli (CRD # 6403468) was recently suspended from the securities industry [...]
Albert Dishner Suspended by FINRA for Unauthorized Trading in Equities and Options Securities
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Albert Dishner (CRD No. 1912362) was recently suspended from the securities industry [...]