Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

2026-08-05T12:08:19-05:00July 28th, 2021|Securities Law, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gilbert Anthony Kuta (CRD # 1084075) was recently suspended from the securities [...]

Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

2026-08-05T12:09:19-05:00July 13th, 2021|Securities Law, Churning, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Douglas Edward Szempruch (CRD # 4159318) was recently suspended from the securities industry [...]

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

2026-08-05T12:09:24-05:00June 12th, 2021|Securities Law, FINRA - Broker Actions|

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

2026-08-05T12:09:32-05:00May 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 [...]

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