Broker Investigations
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...
Investor Alert: Andrew Yocum
Recovery of Investment Losses with Andrew Yocum Andrew Yocum, formerly of Morgan Stanley, The Villages, FL and Summit Brokerage Services,...
Douglas Miller and Gary Rathbun Barred by FINRA
FINRA Bars Triad Advisors, Douglas Miller and Gary Rathbun, Selling Away According to FINRA, Douglas Miller (CRD #1946240, Bowling Green,...
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...
