Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest

2020-07-15T08:46:51-05:00July 15th, 2020|Conflicts of Interest, FINRA - Broker Actions, Securities Law|

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

2020-07-05T16:26:35-05:00July 5th, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

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

2020-07-02T14:15:46-05:00July 2nd, 2020|FINRA - Broker Actions, Securities Law|

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

2020-06-28T14:21:32-05:00June 24th, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

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

2020-06-28T14:35:06-05:00June 20th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

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 [...]

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