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Tag: Securities Lawyer

Blog, Current Investigations

Ex-Summit Broker Victor Rigoni III Suspended from the Securities Industry

FINRA Reportedly Suspends Victor Rigoni III for Allegations of Undisclosed Tax Liens According to the Financial Industry Regulatory, on May...

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Blog, Current Investigations

Broker John Swon IV, of Royal Alliance, Barred from Securities Industry 

FINRA Bars Royal Alliance Broker John Swon IV after allegations of Misappropriated Funds According to public records on FINRA’s website,...

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Blog, Current Investigations

Stuart Pearl, David A. Noyes & Co. Broker Suspended

FINRA Reportedly Suspends Advisor Stuart Pearl after Allegations of Unsuitable ETF Recommendations According to public records posted on...

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Blog, Broker Investigations

Christopher Orlando, Former Worden Financial Advisor, Barred from Securities Industry

FINRA Bars Advisor Christopher Orlando after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority...

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Blog, Current Investigations

Jon Lindberg, Proequities, Charged with Broker Misconduct

Broker Jon Lindberg, Birmingham, AL has 2 Pending Regulatory Actions According to the Financial Industry Regulatory Authority (FINRA),...

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Blog, Current Investigations

Stiflel Nicolaus Ex-Broker Alex Perry Barred from Securities industry

FINRA Bars Matthew Alexander Perry (Alex Perry) after Allegations of Unauthorized & Unsuitable Trades According to public records, the...

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