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[...]
Broker / Advisor Investigations
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.
Learn why FINRA recently barred Jordan Paul Meadow after refusing to provide testimony in an investigation into an alleged insider trading scheme.
Learn why FINRA recently barred Jordan Paul Meadow after refusing to provide testimony in an investigation into an alleged insider trading scheme.
Learn why the Second Circuit’s ruling on Morgan Stanley’s deferred comp plan is a win for advisors, and how Sonn Law Group can help if you've been affected.