Broker Investigations
Scott Sibley Barred from Securities Industry
Former Boca Raton Broker Barred from Securities Industry According to FINRA, Scott A. Sibley has been permanently barred from the...
SEC Charges Barry Connell with Stealing $5 Million
Concerned about Investment Losses with Barry Connell? On February 3, the SEC charged an investment adviser Barry Connell with stealing...
Gerald Cocuzzo Pleads Guilty to Securities Fraud
According to a Justice Department Release, Gerald Cocuzzo pleaded guilty to securities fraud for his role in a $131 million market...
Douglas Simanski Barred from Securities Industry
According to FINRA, Douglas P. Simanski (CRD #2606998, Lilly, Pennsylvania) submitted an AWC in which he was barred from association with...
Adam Kuettel Suspended and Fined
Adam Kuettel, former financial advisor from Bentonville, Arkansas allegedly engaged in private securities transactions without prior...
Investigation into Former Broker David Wulf
According to reports former broker David R. Wulf was convicted of 18 counts in one of the largest fraud cases ever tried in the Eastern...
