FINRA SEC Sanctions
Christian De Berardinis, Morgan Stanley, Suspended
Christian De Berardinis after Allegations of Soliciting Outside Investments According to the Financial Industry Regulatory Authority...
Wedbush Securities: Broker Misconduct, Customer Complaints
The White Law Group reviews the regulatory history of Wedbush Securities. Wedbush Securities, (CRD #877, Los Angeles, CA) headquartered in...
First Horizon Advisors Inc. Sanctioned by the SEC
First Horizon Fined for REG BI Violations regarding Structured Notes According to a press release on September 18, 2024, the SEC charged...
John Perez-Cubero, Morgan Stanley, Barred
FINRA Bars John Perez-Cubero after Allegations of Conversion According to the Financial Industry Regulatory Authority (FINRA), the...
Sean Barakat, Spartan Capital, FINRA Complaint
Spartan Capital Broker Sean Barakat Allegedly Excessively Traded Accounts According to the Financial Industry Regulatory Authority (FINRA)...
Tory Duggins, Spartan Capital, Suspended
FINRA Suspends Tory Duggins after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority (FINRA), the...
