suspends | New York Criminal & Securities Attorney

Robert James D’Andria Suspended by FINRA for Unsuitable Recommendations

Robert James D’Andria Suspended by FINRA for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2020-04-22T21:50:39-05:00April 8th, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert James D’Andria (CRD # 1916172) was recently suspended from the securities [...]

FINRA Sanctions Cecil Allen Ross for Unsuitable Recommendations

FINRA Sanctions Cecil Allen Ross for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2020-03-20T15:39:09-05:00March 20th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Cecil Allen Ross (CRD # 2391047), currently with San Angelo, TX based [...]