Robert James McNamara Suspended by FINRA for Unauthorized Discretion in Customer Accounts

2020-07-02T14:15:46-05:00July 2nd, 2020|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert James McNamara (CRD # 1207495) was recently suspended from the securities [...]

FINRA Brings Disciplinary Proceedings Against Julian Jay Piekarczyk for “Unethical Course of Conduct”

2020-07-01T11:22:22-05:00June 17th, 2020|Conflicts of Interest, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/advisor Julian Jay [...]

Leonard Charles Kinsman Barred from the Securities Industry by FINRA After Refusing to Cooperate in Investigation

2020-05-24T16:54:50-05:00May 24th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Leonard Charles Kinsman (CRD # 2816535) was recently barred from the securities [...]

Robert Nordaune Suspended from the Securities Industry by FINRA After Investigation of Forgery

2020-05-17T15:52:44-05:00May 17th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert Nordaune (CRD # 2313216) was recently suspended from the securities industry [...]

FINRA Brings Disciplinary Proceedings Against Steven Robert Luftschein

2020-05-24T17:19:04-05:00May 17th, 2020|Churning, FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has brought disciplinary proceedings against broker/advisor Steven Robert Luftschein [...]

Donald S. Woods Suspended by FINRA for Falsification of Records and Unsuitable Recommendations

2020-05-24T17:17:04-05:00May 8th, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Donald S. Woods (CRD # 727894) was recently suspended from the securities [...]

Moloney Securities, Co., Inc. Sanctioned by FINRA for Failure to Maintain Adequate Supervision

2020-05-24T17:22:48-05:00May 7th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer Moloney Securities, Co., Inc. (Moloney Securities) (CRD # 38535) was recently sanctioned [...]

Brian Joseph Harte Suspended from the Securities Industry by FINRA for Unauthorized Discretion

2020-05-05T15:33:23-05:00May 5th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Brian Joseph Harte (CRD # 4780629) was recently suspended from the securities [...]

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