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Articles Posted in FINRA Investigation

Ray Thomas  (CRD#: 1675282), a former registered representative with Network 1 Financial Securities, Inc. (13577), is currently the subject of a Financial Industry Regulatory Authority (FINRA) regulatory action, according to his BrokerCheck record accessed on March 16, 2020.  On March 6, 2020, the FINRA Department of Enforcement filed a complaint against Ray Thomas, alleging that […]

Pratul Agnihotri (CRD#: 4031797), a registered representative with SW Financial in Melville, New York, is currently under investigation by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on December 19, 2019. What’s going on? On October 18, 2019, FINRA “made a preliminary determination to recommend that disciplinary action be brought against” […]

Marty Batstone (CRD#: 2171601), formerly a registered representative with Newbridge Securities Corporation (CRD#: 104065) in San Diego, California, is currently under investigation by FINRA. On August 16, 2019, the Financial Industry Regulatory Authority, recommended that disciplinary action be brought against him. FINRA alleges that Marty Batstone violated FINRA Rules 2150 and 2010 by allegedly stealing […]

Jay Piekarczyk (CRD#: 1128773), formerly a registered representative with Pruco Securities, LLC in Joliet, Illinois, is currently under investigation by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on September 17, 2019. He is currently not affiliated with any member firm. On August 30, 2019, FINRA recommended that disciplinary action be […]

On January 2, 2020, John Wyshak (CRD#: 1272260) became involved in a customer dispute in which clients are seeking more than $1.3 million in damages, according to his BrokerCheck record accessed on March 10, 2020. What happened to lead to this dispute? The clients allege that, from 2010 to 2014, John Wyshak engaged in unauthorized […]

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