Former broker Sean T. Sullivan (CRD #6283466) is under fire from the Financial Industry Regulatory Authority (FINRA) for two separate but equally serious allegations: unauthorized[...]
Broker / Advisor Investigations
Ford Gray Keeler (CRD# 1696709), a financial advisor currently with LPL Financial in Grand Junction, Colorado, is facing fresh scrutiny. He has a pending $210,000[...]
Jihoon Park (CRD #6535514), a former broker with MML Investors Services in Fairfax, Virginia, is facing serious regulatory and customer disputes. In July 2025, FINRA[...]
Edward Jones broker Zwi Anthony Pechthalt (CRD #2422846) is facing another customer complaint, adding to a long history of disputes on his record. Pechthalt has[...]
Two former Synapse Brokerage executives are facing a Financial Industry Regulatory Authority (FINRA) complaint over their roles in the collapse of a high-profile “banking-as-a-service” platform.[...]
Former broker James Thaddeus Walesa (CRD #1061209) is facing a Financial Industry Regulatory Authority (FINRA) complaint after allegedly refusing to provide documents or appear for[...]
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against former Merrill Lynch broker Ali F. Chehab (CRD #7625979) for allegedly refusing to cooperate[...]
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.