Insights
August 2, 2022
The Financial Industry Regulatory Authority (“FINRA”) has suspended First Allied Securities broker Brian Donnelly for four months beginning June 22, 2022, following an investigation into m...
July 28, 2022
Jeremy Fortner, former Wells Fargo-associated stockbroker in Beverly Hills, California has been barred by the Financial Industry Regulatory Authority (FINRA) because he failed to provide information o...
July 25, 2022
Ronald Molo, a former stockbroker with Edward Jones, has been barred by Financial Industry Regulatory Authority (“FINRA”) for failing to respond to a request for information regarding a customer’...
May 12, 2022
Ann Vanderslice, a/k/a Ann Werts has been named in a $250,000 FINRA arbitration claim brought by a customer alleging that Ms. Vanderslice made unsuitable investment recommendations and failed to do du...
May 10, 2022
Alabama Securities Commissioner Joseph Borg has brought a lawsuit against Financial Industry Regulatory Authority (“FINRA”) arbitrator Harvey Linder, alleging that Mr. Linder engaged in “fraud, corrup...
May 5, 2022
According to Investment News , Tony Barouti, a stockbroker registered with Emerson Equity and based in Los Angeles, California, has been hit with a $1.37 million arbitration claim from customers who l...
March 14, 2022
Deutsche Bank Securities, Inc. has been fined $2 million by the Financial Industry Regulatory Authority (“FINRA”) for failure to follow FINRA’s rules regarding best execution of trad...
March 7, 2022
The Financial Industry Regulatory Authority (“FINRA”) has barred Dennis Ayre from the securities industry based on his refusal to cooperate with FINRA’s investigation into the unsuit...
February 7, 2022
Brian Pearce (#1334784) was suspended from acting as a FINRA broker and fined $5,000 after thirty-six years of experience. Pearce signed a letter of Acceptance, Waiver, and Consent in November 2021 st...
January 24, 2022
Credit Suisse Securities has been fined $9 million by the Financial Industry Regulatory Authority (“FINRA”) for failing to maintain possession or control of billions of dollars of fully paid and exces...
January 17, 2022
Donna Jean Hines ( CRD #4275524 ) was barred by FINRA from serving as a financial advisor in all capacities in November 2021 after refusing to appear for on-the record testimony. FINRA requested Hines...
January 13, 2022
Jeffrey Dampf (CRD #5676205) was barred from association with FINRA in all capacities on October 1, 2021. FINRA issued an Acceptance, Waiver, and Consent for Dampf after he refused to provide on-the-r...
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