Broker Investigations
Dallas Broker Les Jackson Barred by FINRA
Dallas Broker Les Jackson Barred after Allegations of Selling Away According to a letter of acceptance, FINRA, the broker regulator,...
Ron Filoramo Allegedly Defrauded Customers
Morgan Stanley Broker Ron Filoramo Reportedly Fired with 4 Complaints Pending According to a Letter of Acceptance, FINRA, the broker...
Vincent Pucciarelli Jr. Broker Investigation
FINRA Investigation involved Vincent Pucciarelli and Pre-IPO Private Placements Sales According to public records on FINRA’s website,...
Broker Paul McGonigle, LPL Financial, Update
Financial Advisor Paul McGonigle Sentenced to Prison for Defrauding Advisory Clients According to the US Attorney’s office in...
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...
