Broker Investigations
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...
Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators
Billy Stanage Allegedly Obtained Loan from Client On July 20, 2023, FINRA, the regulator who oversees brokers and brokerage firms, barred...
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...
Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator
FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined...
Lynn Bryant Barred by Securities Regulator
FINRA Bars LPL Broker Lynn Bryant after Allegations of Private Securities Transactions FINRA, the regulator who oversees broker and...
