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Articles Tagged with Suspension

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 […]

Kevin Meadows (CRD#: 2878889), a former broker with IBN Financial Services, has been suspended from the securities industry, according to his BrokerCheck record accessed on February 20, 2020. On January 28, 2020, Kevin Meadows entered into an Acceptance, Waiver, and Consent (AWC) agreement with FINRA, the Financial Industry Regulatory Authority. He consented to FINRA’s findings […]

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, […]

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