Kenneth Friedrich (CRD #:1447332), a broker formerly registered with Hilltop Securities, has been suspended by the SEC for allegedly failing to supervise according to his BrokerCheck Record accessed […]
FINRA Bars Paul Furusho for Allegedly Failing to Respond to FINRA Investigation
Dec 20, 2021
Outside Business Activities
Paul Furusho (CRD #: 2165709), a broker formerly registered with APW Capital, was recently barred for allegedly failing to respond to FINRA requests for information, according to […]
SEC Fines Jaime Durando for Allegedly Selling Bonds to Unregistered Brokers
Dec 14, 2021
Regulatory Action
Jaime Durando (CRD #: 1564411), a broker registered with RBC Capital Markets, has been fined by the SEC for allegedly selling new-issue bonds to unregistered […]
Joseph Wesley (CRD #2351330), a broker and investment advisor registered with Thurston Springer, is the subject of a regulatory action, according to his BrokerCheck Record accessed on November […]
James Korth (CRD #1091113), a broker and investment advisor registered with J.W. Korth & Company, has been fined by the SEC for allegedly executing unauthorized […]
Missouri State Suspends Barbara Burns Following Allegations of Unethical Business Practices
Nov 16, 2021
Regulatory Action
Barbara Burns (CRD #6303432), a broker with Center Street Securities, is facing a six-month suspension from Missouri state for alleged unethical business practices, according to […]
Chip Dover (CRD #: 1514033 ), a broker and investment adviser registered with Moors & Cabot, Inc, has been fined by the Florida Department of Financial […]
William Wright Barred for Failing to Provide Information for a FINRA Investigation
Oct 25, 2021
Regulatory Action
William Wright (CRD #: 3048195), a broker formerly registered with National Securities Corporation, has been barred by FINRA, according to his BrokerCheck Record, accessed on […]
Alon Zak (CRD #: 5734529), a previously registered broker with Pruco Securities, is the subject of a FINRA regulatory action, according to his BrokerCheck record, […]
Peter Borrello Fined For Allegedly Failing To Keep Client Information Confidential
Oct 25, 2021
Elder Financial Abuse
Peter Borrello (CRD #1841005), a broker and investment adviser with Stifel, Nicolaus & Company, has been fined for allegedly failing to maintain the confidentiality of […]