Suspended Broker Archives - Page 2 of 2 - Securities & Investment Lawyer

Dennis Cummings Suspended and Fined By FINRA

Jul 29, 2021 FINRA Fine

Dennis Cummings (CRD #: 2923607), a broker registered with Popular Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on July 19, […]

Eric Burton of Cetera Advisors Suspended Over Falsified Variable Annuity Disclosures

Jul 20, 2021 Falsified Documents

Eric Burton (CRD #: 3113849), a broker registered with Cetera Advisors in Orland Park, Illinois, has been suspended by FINRA following allegations that he falsified […]

Kelly Feehrer Fined and Suspended By FINRA

Jul 16, 2021 Suspended Broker

Kelly Feehrer (CRD #: 1470328), a broker registered with Merrill Lynch, Pierce, Fenner & Smith in Chattanooga, Tennessee, has agreed to a FINRA fine and […]

Scott Niekamp Suspended By FINRA Following Allegations of Unapproved Outside Business Activities

Jul 14, 2021 Outside Business Activities

Scott Niekamp (CRD #: 3277810), a broker registered with Northwestern Mutual Investment Services, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]