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Articles Tagged with FINRA Investigation

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 […]

Harry Datys (CRD#: 1877750), formerly a registered representative with WestPark Capital in New York, New York, is currently under investigation by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on January 14, 2020. On December 20, 2019, FINRA, the Financial Industry Regulatory Authority, alleged that Harry Datys misrepresented and omitted facts […]

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