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 […]
Matthew Smith (CRD #: 2688706), a former broker, is under investigation by FINRA, according to his BrokerCheck record, accessed on May 8, 2022. Keep reading […]
Michael Venturino Subject of Unsuitable Recommendations, Churning Allegations
Apr 11, 2022
Excessive Trading
Michael Venturino (CRD #: 5872439), a broker registered with Spartan Capital Securities, is alleged to have recommended unsuitable investments and executed excessive trades, according to […]
Thomas Diamante Facing FINRA Investigation Following Allegations Misrepresentation
Mar 30, 2022
FINRA Investigation
Thomas Diamante (CRD #: 1645257), a broker registered with SW Financial, is facing a FINRA investigation. This is according to his BrokerCheck record. On February […]
Jimmy Nunez (CRD #: 6432136), a previously registered broker with Allstate Financial Services, was recently fined and suspended by FINRA, according to his BrokerCheck record, […]
Alicia Chester Suspended by FINRA for Allegedly Failing to Respond to FINRA Requests
Feb 28, 2022
FINRA Investigation
Alicia Chester (CRD #: 6358215), a broker formerly registered with BBVA Securities, was recently suspended for allegedly failing to respond to FINRA requests for information, […]
Roger Waite Barred After Allegedly Failing to Cooperate with FINRA Investigation
Feb 22, 2022
FINRA Investigation
Roger Waite (CRD #: 2848213), a broker formerly registered with LPL Financial, has been barred by FINRA, according to his BrokerCheck record, accessed on February […]
Amy O’Brien Barred After Allegedly Failing to Cooperate with FINRA Investigation
Feb 22, 2022
FINRA Investigation
Amy O’Brien (CRD #: 5765481), a broker formerly registered with LPL Financial, has been barred by FINRA, according to her BrokerCheck record, accessed on February […]