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Articles Tagged with Suspension

Kerry Wills (CRD#: 1353739), a registered representative with First Western Securities, Inc. (CRD#: 19537) in Manhattan Beach, California, has been suspended by the Financial Industry Regulatory Authority (FINRA) for borrowing $150,000 from a 90-year-old customer, according to his BrokerCheck record accessed on January 31, 2020. On January 27, 2020, Kerry Wills consented to FINRA’s findings […]

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, […]

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, […]

A registered representative with J.W. Cole Financial, Inc. of Vermillion, Ohio, Jeff Vasiloff (CRD#: 3180004) has been suspended by the Financial Industry Regulatory Authority (FINRA) for exercising discretion in brokerage accounts, according to his BrokerCheck report accessed on September 17, 2019. On September 6, 2019, Jeff Vasiloff entered into an Acceptance, Waiver, and Consent (AWC) […]

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 […]

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

FINRA, the Financial Industry Regulatory Authority, has suspended Jeff Schwebach (CRD#: 1606537), a broker based in South Dakota who most recently was employed by the brokerage firm Independent Financial Group (CRD#: 7717), based in Dell Rapids, South Dakota. His branch office is Schwebach Financial. The suspension, which started July 1, 2019, will last eight months, […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in June, more than 30 brokers and/or investment advisers were reported in that month as suspended from associating with FINRA firms. The following individuals have agreed to these sanctions without admitting or denying the alleged underlying conduct. Some of these suspensions may […]

Investigation: GWG Renewable Secured Debentures Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that Pennsylvania-based Woodbury Financial Services broker Deborah Griffin, also known as Deborah Rejniak, is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli […]

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