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, […]
Michael Puckett Under Investigation by FINRA Following Resignation from Coker & Palmer
Sep 23, 2022
Employment
Michael Puckett (CRD #: 6568213), a broker formerly registered with Coker & Palmer, is the subject of an ongoing FINRA investigation, according to his BrokerCheck […]
Phillip Burnett Subject of FINRA Investigation
Sep 23, 2022
Employment
Phillip Burnett (CRD #: 1573765), a broker formerly registered with Coker & Palmer, is currently under investigation by FINRA, according to his BrokerCheck record, accessed […]
Charles Alley (CRD #: 4584662), a broker formerly registered with Coker & Palmer, is currently under investigation by FINRA, according to his BrokerCheck record, accessed […]
Steven Hirata Barred by FINRA
Jul 18, 2022
FINRA Investigation
Steven Hirata (CRD #: 1188927) has been barred by FINRA, according to his BrokerCheck record, accessed on July 8, 2022. Keep reading if you have […]
Salvatore Carollo (CRD #: 5047673) has been suspended by FINRA, according to his BrokerCheck record, accessed on July 1, 2022. If you have questions about […]
Maxim Tulupnikov (CRD #: 6188857), a broker registered with David Lerner Associates, is the subject of a FINRA investigation. This is according to his BrokerCheck […]
Timothy Higgins (CRD #: 2282547), a former broker, failed to appear for an on-the-record FINRA interview, according to his BrokerCheck record, accessed on June 6, […]
Greg Hanshew (CRD #: 2624600), a former broker, has been suspended by FINRA, according to his BrokerCheck record, accessed on May 9, 2022. Keep reading […]