Robert Rotunno (CRD #: 4025263), a broker registered with SW Financial, has been fined by the State of Missouri, according to his BrokerCheck Record accessed […]
Hung Sam (CRD #: 6065447), a broker formerly registered with Wells Fargo Clearing Services, was suspended for five days by the California Department of Insurance, […]
Rita Mansour Subject of SEC Fine
Mar 8, 2022
Regulatory Action
Rita Mansour (CRD #: 1968418), a broker registered with McDonald Partners, is the subject of an SEC fine, according to her BrokerCheck record, accessed on […]
Ari Rubenstein (CRD #: 4134798), a broker registered with GTS Execution Services, is the subject of an investigation by the New York Stock Exchange. This […]
Yaron Katz is the Subject of Two New York Stock Exchange Investigations
Feb 28, 2022
Regulatory Action
Yaron Katz (CRD #:6012416), a broker registered with GTS Securities, is the subject of two New York Stock Exchange investigations, according to his BrokerCheck record, […]
Jawahar Waknis is the Subject of a New York Stock Exchange Investigation
Feb 28, 2022
Regulatory Action
Jawahar Waknis (CRD #:5861481), a broker registered with GTS Securities, is the subject of a New York Stock Exchange investigation, according to his BrokerCheck record, […]
David Lieberman is the Subject of a New York Stock Exchange Investigation
Feb 28, 2022
Regulatory Action
David Lieberman (CRD #:2936821), a broker formerly registered with GTS Securities, is the subject of a New York Stock Exchange investigation, according to his BrokerCheck […]
David Snavely (CRD #: 2030866), a broker formerly registered with TCFG Wealth Management, has a pending regulatory action from the Washington State Securities Division after […]
The State of Minnesota Revokes Kyle Wittgren’s Securities and Insurance Licenses
Feb 22, 2022
Regulatory Action
Kyle Wittgren (CRD #: 6221630), securities and insurance licenses were revoked by the State of Minnesota, according to his BrokerCheck Record accessed on February 10, […]
Michael Brown (CRD #:2544892), a broker formerly registered with National Securities Corporation, is the subject of a State of Illinois Department of Insurance fine, according […]