Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

2021-06-15T15:46:40-05:00June 15th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]

Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations

2021-05-24T11:02:42-05:00May 24th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Carl George Antaki (CRD # 4177543) was recently suspended from the securities [...]

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

2021-05-01T21:40:37-05:00May 1st, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Kevin David Barton (CRD # 2542056) was recently suspended from the securities [...]

John Lee Scott Barred from Securities Industry After FINRA Investigation Into Private Placements

2021-04-30T16:28:53-05:00April 30th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Lee Scott (CRD # 2407610) was recently barred from the securities [...]

Matthew Angelo Siliato Barred from Securities Industry After FINRA Investigation for Churning and Unauthorized Trading

2021-04-30T10:05:33-05:00April 30th, 2021|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Matthew Angelo Siliato (CRD # 5062153) was recently barred from the securities [...]

David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

2021-04-29T10:18:13-05:00April 29th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Scott Fergang (CRD # 1758758) was recently suspended from the securities [...]

Jared Matthew Reinstein Suspended from Securities Industry by FINRA for Unauthorized Trading

2021-04-28T21:57:37-05:00April 28th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Jared Matthew Reinstein (CRD # 5411470) was recently suspended from the securities [...]

Frederick Joseph Rock Suspended by FINRA from Securities Industry for Unapproved Sales of Private Placement Securities

2021-04-27T14:28:06-05:00April 27th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Frederick Joseph Rock (CRD # 2548242) was recently suspended from the securities [...]

David Zuber Barred by FINRA From Securities Industry After Investigation of Private Securities Offering

2021-04-25T17:33:08-05:00April 25th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, David B. Zuber (CRD # 3239595) was recently barred from the securities [...]

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