David Zuber Barred by FINRA From Securities Industry After Investigation of Private Securities Offering

David Zuber Barred by FINRA From Securities Industry After Investigation of Private Securities Offering

Kevin J. Deloatch, Esq.2026-08-05T12:10:42-05:00April 25th, 2021|Securities Law, FINRA - Broker Actions, Private Placements|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, David B. Zuber (CRD # 3239595) was recently barred from the securities [...]

John R. Jaramillo Suspended from the Securities Industry by FINRA

Kevin J. Deloatch, Esq.2020-09-21T14:42:12-05:00September 21st, 2020|Securities Law, FINRA - Broker Actions, Private Placements|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John R. Jaramillo (CRD # 2659263) was recently suspended from the securities [...]

Dee Dee Brooks Barred from the Securities Industry by FINRA

Kevin J. Deloatch, Esq.2020-06-25T11:53:14-05:00June 13th, 2020|Securities Law, FINRA - Broker Actions, Markets and Products|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Dee Dee Brooks (CRD # 2559233) was recently barred from the securities [...]