Broker Blog

Hillard Rest Named in Allegations Involving Suitability and Misrepresentation

Aug 8, 2022 Unsuitable Investments

Hillard Rest (CRD #: 858840), a broker registered with JRL Capital Corporation, is the subject of two pending disputes, according to his BrokerCheck record, accessed […]

Investor Alleges Elisabeth Andreason Purchased Unsuitable Investments

Aug 8, 2022 Unsuitable Investments

Elisabeth Andreason (CRD #: 4540825), a broker registered with Morgan Stanley, is involved in a pending dispute, according to her BrokerCheck record, accessed on July […]

Cynthia La Rosa Barred by FINRA

Aug 8, 2022 Barred Broker

Cynthia La Rosa (CRD #: 2459459) has been barred by FINRA, according to her BrokerCheck record, accessed on July 23, 2022. Read on if you […]

FINRA Rule 3110 : Supervisions & Compliances to Follow FINRA Rules & Regulations

Aug 8, 2022 Articles

Financial Industry Regulatory Authority (FINRA) Rule 3110, also known as the Supervision Rule, requires brokerage firms to diligently supervise the activities of their representatives (e.g., […]

Cesar Alfonzo Barred by FINRA After Allegedly Refusing to Provide Testimony

Aug 5, 2022 Barred Broker

Cesar Alfonzo (CRD #: 6817711), a broker formerly registered with Citigroup Global Markets, has been barred by FINRA, according to his BrokerCheck record, accessed on […]

What Does a Securities Attorney Do?

Aug 5, 2022 Articles

Securities attorneys represent clients who have lost money investing with a brokerage firm, stock broker, or financial advisor. Investors lose money due to fraud or […]

Investor Alleges James Parascandola Excessively Traded Their Account

Aug 5, 2022 Excessive Trading

James Parascandola (CRD #: 2866028), a broker registered with Pruco Securities, allegedly engaged in excessive trading, according to his BrokerCheck record, accessed on July 23, […]

Michael Gnacinski Allegedly Omitted Facts About Variable Universal Life Insurance Policy

Aug 5, 2022 Variable Universal Life Insurance (VUL)

Michael Gnacinski (CRD #: 3180067), a broker registered with MML Investors Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on […]

Robert Haas Suspended by FINRA

Aug 5, 2022 FINRA Suspension

Robert Haas (CRD #: 800051), a broker formerly registered with Wells Fargo Clearing Services, has been suspended by FINRA, according to his BrokerCheck record, accessed […]

FINRA Suspends Thomas Hallberg for Alleged Unauthorized Trading

Aug 5, 2022 Unauthorized Trading

Thomas Hallberg (CRD #: 3053755), a broker registered with Edward Jones, has been suspended by FINRA, according to his BrokerCheck record, accessed on July 22, […]

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