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Articles Tagged with FINRA

August 2019 Disciplinary Actions When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full August 2019 report can be viewed here. […]

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 […]

The Certified Financial Planner Board of Standards, which issues the prestigious Certified Financial Planner (CFP) designation, announced in a press release to PR Newswire on August 5, 2019, that they had sanctioned 12 financial planners for violating FINRA rules or the CFP Code of Conduct. Violations include failing to disclose outside business activities and selling […]

Matthew Siliato (CRD#: 5062153), who is not currently affiliated with a firm, was recently suspended by FINRA. The suspension lasted from June 12, 2019 to June 20, 2019, according to his BrokerCheck record accessed on August 8, 2019. He “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a […]

FINRA, the Financial Industry Regulatory Authority, has issued its July 2019 monthly report of disciplinary actions levied against brokers and brokerage firms. The report includes information about brokers barred by FINRA for document forgery and annuity churning, among other activities, as well as brokers suspended by FINRA for improperly liquidating variable annuities and engaging in […]

FINRA, the Financial Industry Regulatory Authority, has suspended David Antypas (CRD #: 2603488), a financial advisor from Brentwood, Tennessee who was most recently registered with IFS Securities. David Antypas worked for six firms throughout his 23-year career, including: LPL Financial LLC (CRD# 6413) Continue Reading

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2019 list more than a dozen brokers and/or investment advisers reported in December 2018 as suspended from association with FINRA member firms. The financial professionals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to the […]

Publicly available records published by FINRA and accessed on January 18, 2018 list more than a dozen investment representatives who were reported in December 2018 as barred from associating with Financial Industry Regulatory Authority member firms. The brokers enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary […]

Publicly available records published by the Financial Industry Regulatory Authority and accessed on December 6, 2018 indicate that FINRA reported more than 15 brokers and/or investment advisers in November as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions […]

Publicly available records published by FINRA and accessed on May 15, 2018 indicate that more than one dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms this month. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these […]

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