Brian Shevland (CRD #: 4570496) was suspended by FINRA. This is according to his BrokerCheck record, accessed on April 8, 2024. Keep reading if you […]
Ronald Senegal Fined by New York State Department of Financial Services
Apr 9, 2024
Regulatory Action
Ronald Senegal (CRD #: 1511146), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This is according […]
Bruce Zaro (CRD #: 1271065), a previously registered broker with International Assets Advisory, is the subject of a regulatory action. This disclosure appears on his […]
Lucas Mroz (CRD #: 5725399), a broker registered with Morgan Stanley, is the subject of an investor dispute. This is according to his BrokerCheck record, […]
John Ordonez Suspended by FINRA
Mar 5, 2024
Regulatory Action
John Ordonez (CRD #: 4308639) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed March 5, 2024. BrokerCheck also reveals he […]
Timothy Shaw (CRD #: 4513902), a broker registered with Osaic Wealth, is the subject of a regulatory action in the State of Indiana. This disclosure […]
Felipe Henao Vargas is the Subject of a Regulatory Action Following Allegations of Short Selling
Mar 4, 2024
Regulatory Action
Felipe Henao Vargas (CRD #: 5140431), a previously registered broker with Insigneo Securities, is the subject of a regulatory action. This is according to his […]
Joseph Natoli (CRD #: 5818236), a broker registered with Park Avenue Securities, is the the subject of a regulatory action in New York. This regulatory […]
Fernando Corujo (CRD #: 5657513), a broker registered with Lincoln Financial Securities Corporation, is the subject of a regulatory action in Puerto Rico. This disclosure […]
Charles Lucas (CRD #: 1285092) has been fined by the Washington State Department of Financial Institutions. This disclosure appears on his BrokerCheck record, accessed on […]