Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

2026-08-05T12:04:54-05:00December 15th, 2021|Securities Law, FINRA - Broker Actions, Fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Scot Feigenbaum (CRD # 3132230) was recently suspended from the securities industry [...]

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 [...]

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 [...]

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