FINRA SEC Sanctions
Vincent Pucciarelli Jr. Broker Investigation
FINRA Investigation involved Vincent Pucciarelli and Pre-IPO Private Placements Sales According to public records on FINRA’s website,...
The SEC Cracks down on Private Messaging
Broker Dealers and Private Text Apps – SEC Issues $539 Million in Fines On August 8, 2023, The Securities and Exchange Commission...
Lickhai Quach Barred by FINRA
Lickhai Quach Allegedly Obtained Loan from Client On August 7, 2023, FINRA, the regulator who oversees brokers and brokerage firms,...
Purshe Kaplan Brokers William Weisbrod and Lilia Nia Sanctioned
FINRA Sanctions Brokers William Weisbrod and Lilia Nia after Allegations of Illegal Trading Activity FINRA, the regulator who oversees...
Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators
Billy Stanage Allegedly Obtained Loan from Client On July 20, 2023, FINRA, the regulator who oversees brokers and brokerage firms, barred...
Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator
FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined...
