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 [...]

Robert Silverman Suspended from the Securities Industry by FINRA for Unauthorized Transactions

2020-06-12T17:26:44-05:00June 11th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert Silverman (CRD # 4582993) was recently suspended from the securities industry [...]

Robert Nordaune Suspended from the Securities Industry by FINRA After Investigation of Forgery

2020-05-17T15:52:44-05:00May 17th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert Nordaune (CRD # 2313216) was recently suspended from the securities industry [...]

Donald S. Woods Suspended by FINRA for Falsification of Records and Unsuitable Recommendations

2020-05-24T17:17:04-05:00May 8th, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Donald S. Woods (CRD # 727894) was recently suspended from the securities [...]

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