Sidney Lebental (CRD #: 5543658), a broker formerly registered with BofA Securities, was recently investigated by FINRA, according to his BrokerCheck record, accessed on March […]
Giancarlo Varia (CRD #: 6608778), a broker registered with J.P. Morgan Securities, has been investigated by the California Department of Insurance, according to his BrokerCheck […]
Andrew Grant (CRD #: 2709882), a broker registered with Network 1 Financial Securities, was recently investigated by FINRA, according to his BrokerCheck record, accessed on […]
Randell Ogden (CRD #: 2019815), a broker registered with Cambridge Investment Research, was recently investigated by FINRA, according to his BrokerCheck record, accessed on February […]
Brendan Ercole (CRD #: 6391100), a broker registered with Cambridge Investment Research, was recently the subject of a FINRA investigation, according to his BrokerCheck record, […]
James Iannazzo (CRD #: 2807988), a broker registered with Aegis Capital Corporation, was recently investigated by FINRA, according to his BrokerCheck record, accessed on January […]
John Pelletier Investigated by FINRA
Dec 21, 2022
FINRA Investigation
John Pelletier (CRD #: 4205289), a broker registered with LPL Financial, was recently investigated by FINRA, according to his BrokerCheck record, accessed on December 7, […]
Jose Centeno (CRD #: 6368188), a broker registered with Wedbush Securities, was the subject of a recent FINRA investigation, according to his BrokerCheck record, accessed […]
Vincent Grucci (CRD #: 1602600), a broker registered with Fortune Financial Services, allegedly violated multiple FINRA rules, according to his BrokerCheck record, accessed on November […]
Yoon Chung (CRD #: 5978168), a broker formerly registered with NYLIFE Securities, was investigated by FINRA, according to his BrokerCheck record, accessed on August 27, […]