Broker Investigations
Jailed Ex-broker Barry Connell ordered to pay $300,000
FINRA orders Barry Connell to repay bonuses to Morgan Stanley According to reports, an FINRA arbitration panel has ordered Barry F....
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...
