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

2026-08-05T12:09:46-05:00April 29th, 2021|Securities Law, FINRA - Broker Actions|

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

2026-08-05T12:09:49-05:00April 28th, 2021|Securities Law, FINRA - Broker Actions|

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

2026-08-05T12:10:35-05:00April 27th, 2021|Securities Law, FINRA - Broker Actions, Private Placements|

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

2026-08-05T12:14:42-05:00February 20th, 2021|Securities Law, FINRA - Broker Actions, Fraud|

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

2026-08-05T12:15:26-05:00January 21st, 2021|Securities Law, Churning, FINRA - Broker Actions, Fraud, 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

2026-08-05T12:15:38-05:00December 18th, 2020|Securities Law, FINRA - Broker Actions, Markets and Products, 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 [...]

John Westbrook Suspended From the Securities Industry by FINRA

2020-11-22T22:35:59-05:00November 21st, 2020|Securities Law, FINRA - Broker Actions, Markets and Products, Private Placements, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser John Westbrook (CRD # 1846059) was recently suspended from the securities industry [...]

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