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Articles Tagged with Suspended Brokers

Raz Razvi (CRD#: 3042006), formerly of Lincoln Financial Securities Corporation (CRD#: 3870), has been suspended from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on March 16, 2020. What happened to lead to Razi Razvi’s suspension by FINRA? It all began on April 9, 2018, when a […]

Bob D’Andria (CRD#: 1916172), a registered representative with International Assets Advisory, LLC (CRD#: 10645) in Spring Lake, New Jersey, has been suspended from the securities industry after recommending non-traditional exchange traded products (NT-ETPs) without having a sufficient understanding of these investment products, according to his BrokerCheck record accessed on January 24, 2020. On January 2, […]

Felix Chu (CRD#: 2427593), formerly a registered representative with NYLIFE Securities, has been indefinitely suspended from the securities industry, according to his BrokerCheck record accessed on January 21, 2020. What happened to lead to Felix Chu’s indefinite suspension from the securities industry? On August 29, 2019, Felix Chu became involved in a customer dispute. Clients […]

Cecil Ross (CRD#: 2391047), a registered representative with International Assets Advisory LLC (CRD#: 10645) in San Angelo, Texas, has been suspended by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on January 16, 2020. On December 18, 2019, Cecil Ross entered into an Acceptance, Waiver, and Consent (AWC) with FINRA, the […]

Eddie Shechter (CRD#: 2772177), a registered representative with Spencer-Winston Securities Corporation (CRD#: 8300) in Jersey City, New Jersey, has been suspended by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on January 16, 2020. What allegedly happened to lead to Eddie Shechter’s suspension from the securities industry? On November 17, 2019, […]

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 December 2019 report can be viewed here. In the most serious […]

FINRA Disciplinary Actions November 2019 When brokers violate FINRA rules or federal securities regulations—by borrowing money from customers, forging documents, 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 November 2019 report can be viewed […]

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 October 2019 report can be viewed here. In the most serious […]

Eric Savell (CRD#: 4182368), formerly a registered representative with LPL Financial, has been suspended by FINRA for failing to disclose outside business activities. According to his BrokerCheck record accessed on August 27, 2019, Eric Savell entered into an Acceptance, Waiver, and Consent (AWC) with FINRA on August 5, 2019. According to the complaint, “… Savell […]

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 […]

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