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Articles Posted in Barred

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former California-based US Bancorp Investments broker/adviser John Wade has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that former Illinois-based National Securities Corporation broker Rick Konecny, who has received several resolved or pending customer disputes, has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. […]

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