Laren Pisciotti (CRD #: 5618797), a broker formerly registered with TD Ameritrade, is involved in a pending SEC lawsuit, according to her BrokerCheck record, accessed […]
Daniel Madasz (CRD #: 1035237), a broker formerly registered with Multi-Financial Securities Corporation, has been barred by the SEC, according to his BrokerCheck record, accessed […]
Michael Braun Involved in SEC Action
Nov 15, 2024
SEC Investigation
Michael Braun (CRD #: 4197374), a broker formerly registered with BB&T Securities, was involved in an SEC action, according to his BrokerCheck record, accessed on […]
SEC Files Multiple Actions Against Darryl Cohen Alleging Misappropriation
Jun 12, 2023
SEC Investigation
Darryl Cohen (CRD #: 2786613), a broker formerly registered with Morgan Stanley, is involved in multiple pending SEC actions and investor disputes, according to his […]
John Cucinella Subject of SEC Action Following Securities Fraud Conviction
Jun 1, 2023
SEC Investigation
John Cucinella (CRD #: 2614279), a broker formerly registered with Meyers Associates, is the subject of a pending SEC action, according to his BrokerCheck record, […]
Ricky Mantei Investigated by SEC
Oct 12, 2022
SEC Investigation
Ricky Mantei (CRD #: 1098981), a broker registered with Centaurus Financial, was recently investigated by the SEC, according to his BrokerCheck record, accessed on August […]
SEC Investigates Atul Makharia
Oct 10, 2022
SEC Investigation
Atul Makharia (CRD #: 5070762), a broker registered with Centaurus Financial, was the subject of an SEC investigation, according to his BrokerCheck record, accessed on […]
Robert High (CRD #: 4568165) has been barred from FINRA, according to his BrokerCheck record, accessed on June 3, 2022. If you have questions about […]
Nancy Cole (CRD #:2900724), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to her BrokerCheck […]
Steven Graham (CRD #:1977736), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to his BrokerCheck […]