William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

2022-02-10T09:08:57-05:00February 10th, 2022|Churning, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

2022-01-27T21:47:27-05:00December 13th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]

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 [...]

Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

2021-06-15T15:46:40-05:00June 15th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]

Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations

2021-05-24T11:02:42-05:00May 24th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Carl George Antaki (CRD # 4177543) was recently suspended from the securities [...]

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