Gustavo Rodrigo III Suspended from Securities Industry by FINRA for Unauthorized Discretion

2023-09-14T16:50:21-05:00September 14th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gustavo Rodrigo III (CRD # 3031284) was recently suspended from the securities industry by [...]

Blake Adam Levy Suspended from Securities Industry by FINRA for Unsuitable Private Placements

2023-09-28T08:52:35-05:00June 21st, 2023|FINRA - Broker Actions, Fraud, Improper Mutual Fund Sales Practices, Private Placements, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blake Adam Levy (CRD # 4593636) was recently suspended from the securities [...]

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