Matthew G. Zanowiak Suspended From Securities Industry By FINRA for Unauthorized Discretion

2021-06-12T16:26:25-05:00June 12th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew G. Zanowiak (CRD # 1142281) was recently suspended from the securities industry by [...]

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 [...]

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 [...]

Jenny Xinfang Feng Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

2021-02-20T16:09:48-05:00February 20th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Jenny Xinfang Feng (CRD # 6312900) was recently suspended from the securities [...]

Christian Lucchetto Suspended from the Securities Industry by FINRA for Churning

2021-01-21T15:32:15-05:00January 21st, 2021|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Christian Frank Lucchetto (CRD # 4648994) was recently suspended from the securities [...]

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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