Month: August 2017
Ex-Broker Anthony J. Verzi Barred from the Securities Industry
Ex-Broker Anthony J. Verzi Barred from the Securities Industry According to FINRA, on June 7, 2017, Anthony J. Verzi (CRD #1186572,...
MA Commonwealth Secretary Galvin Investigates broker ‘kickbacks’
New York Times op-ed piece sparks investigation into broker kickbacks According to reports on Tuesday, Massachusetts securities regulator,...
FINRA Sanctions VFG Securities for Supervisory Issues
VFG Securities Censured & Fined According to FINRA, on June 28, 2017, VFG Securities Inc. (CRD #15121, Culver City, California) was...
Former Advisor Jay Dee Jordan Barred from Securities Industry
FINRA Bars Jay Dee Jordan for Numerous Violations According to the Financial Industry Regulatory Authority, between June 1, 2012 and March...
Former Advisor Paul V. Blum Barred from Securities Industry
FINRA Bars Paul V. Blum for Failure to Appear for Testimony According to the Financial Industry Regulatory Authority, former financial...
Lloyds TSB Bank Steepener Note due 2/22/2033 Investment Losses
Investigating Potential Claims Involving Lloyds TSB Bank Steepener Note due 2/22/2033 Did you suffer losses investing in Lloyds TSB Bank...
