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[...]
Broker / Advisor Investigations
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.
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.