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

2021-08-09T12:43:24-05:00August 9th, 2021|Assault, Criminal Law, Uncategorized|

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 [...]

Eugene McAdams Barred from Securities Industry by FINRA After Suitability Investigation

2021-08-05T10:57:55-05:00August 5th, 2021|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Eugene McAdams (CRD # 4190211) was recently barred from the securities industry by [...]

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 [...]

Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation

2021-06-16T19:06:59-05:00June 16th, 2021|FINRA - Broker Actions, Private Placements, Securities Law, Uncategorized|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Grant C. Birkley (CRD # 2933533) was recently barred from the securities industry by [...]

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 [...]

Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities

2021-06-01T14:13:22-05:00June 1st, 2021|Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Bradley Woods & Co. Ltd. (CRD # 13660) was recently sanctioned by [...]

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 [...]

Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

2021-05-02T20:34:10-05:00April 22nd, 2021|Markets and Products, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Independent Financial Group, LLC (CRD # 7717) was recently sanctioned by FINRA’s [...]

Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

2021-01-20T14:08:54-05:00January 20th, 2021|Fraud in Underwriting, Markets and Products, Misrepresentation, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer/investment adviser, Growth Capital Services, Inc. (CRD # 124658) was recently sanctioned by [...]

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 [...]

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