Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

2021-08-12T19:52:14-05:00August 12th, 2021|FINRA - Broker Actions, Markets and Products|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that now former broker/investment adviser, Matthew Alexander Perry (Alex Perry) (CRD # 5985300) was recently [...]

Walter Allen Barred from Securities Industry by FINRA After Refusing to Cooperate In Unauthorized Discretion Investigation

2021-08-09T12:43:24-05:00August 9th, 2021|Assault, Criminal Law, Uncategorized|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Walter Morrow Allen (CRD # 1344149) was recently barred from the securities industry [...]

Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

2021-07-28T15:43:03-05:00July 28th, 2021|FINRA - Broker Actions, Securities Law, 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 [...]

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

2021-04-29T10:18:13-05:00April 29th, 2021|FINRA - Broker Actions, Securities Law|

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 [...]

Go to Top