Broker Investigations
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...
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...
Clarice Saw Charged with Defrauding Elderly Client
New York Advisor Clarice Saw Charged with Defrauding Elderly Client of $2.4 Million According to reports this week, the SEC charged...