Broker Investigations
James Pelletiere, Pruco Securities Advisor, Barred by FINRA
FINRA Bars James Pelletiere after Allegations of Misconduct According to public records, the Financial Industry Regulatory Authority...
Todd Lesk Barred after Selling Away Allegations
FINRA Bars Cambridge Broker Todd Lesk after Crypto Asset Offering Sales According to public documents, the Financial Industry Regulatory...
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...
