Michael F. Ginestro (CRD #2468911), a long-time Merrill Lynch broker based in Los Angeles, is under scrutiny after an investor filed a $2.4 million Financial[...]
Broker / Advisor Investigations
J.P. Morgan broker Richard M. Ciraco (CRD #825969) is once again under scrutiny, with a new $450,000 customer dispute adding to a career marked by[...]
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[...]
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.