Broker Investigations
David Nathan Cohen Complaints: FINRA Bars Former Cetera Broker
David Nathan Cohen Complaints & FINRA Bar (Cetera) 2026 FINRA barred former Cetera Investment Services broker David Nathan Cohen from...
Ted Byrer Suspended by FINRA Over Options Trading at Morgan Stanley
Ted Byrer FINRA Sanction: Morgan Stanley Broker Suspended 14 Months FINRA has reportedly suspended former Morgan Stanley broker Ted Byrer...
Alan Ngo Barred by FINRA after Selling Away Allegations
Alan Ngo FINRA Bar | Selling Away Investigation FINRA has barred Alan Ngo, a former registered representative with PFS Investments in...
Mohammed Anayet Karim Barred by FINRA Over Refusal to Testify
Mohammed Anayet Karim FINRA Bar | Truist Investment Services FINRA has barred Mohammed Anayet Karim, a former registered representative...
Craigg McRae, Former Wells Fargo Advisor, Suspended by FINRA
Craigg McRae FINRA Suspension | Unauthorized Trading FINRA has suspended Craigg McRae, a former Wells Fargo Advisors broker, for 15 days...
Kim Thien Tran, Former NYLife Securities Broker, Suspended by FINRA
Kim Thien Tran (NYLife Securities) Suspended by FINRA FINRA has reportedly suspended former NYLife Securities broker Kim Thien Tran, also...
