Innovation Partners LLC (CRD#:146344) is a brokerage and investment advisor firm in Charlotte, NC. A recent FINRA regulatory decision alleges the firm continued to allow[...]
Investment Loss Investigations
Samuel Frederik Lek (CDR#: 1642936) has been a broker with Lek Securities Corp. since 1993. According to a November 26, 2018 FINRA regulatory decision, Lek[...]
Ronald R. Blasczyk (CRD#: 3065429) is a registered broker and investment advisor with Wells Fargo Clearing Services, LLC. Blasczyk is under investigation by FINRA, for[...]
Nina Jessee (CRD#: 1484808), previously employed at Cetera Advisors, LLC (Cetera) is no longer a registered broker or investment advisor. In November of 2017, she[...]
George Puliafico (CRD#: 1158596) has been a broker registered with Raymond James Financial Services, Inc, in Walpole, MA since 1999. Puliafico’s CRD shows a pending[...]
Robert Ginsberg (CRD#: 5177531) is a registered broker and investment advisor with Woodbury Financial Services, Inc. (Woodbury) in Wallingford, CT. Ginsberg has been with Woodbury[...]
As of November 26, the Financial Industry Regulatory Authority, Inc (FINRA) has barred Frank Dietrich from acting as a broker or associating with broker-dealer firms.[...]
Former UBS Financial Services Inc. broker, David Fagenson (CRD#: 1652012) was suspended last week by the Financial Industry Regulatory Authority, Inc. (FINRA) for numerous unsuitable[...]
On November 16, Robert Lee Basile (CRD#: 2392772), a former Waddell & Reed broker, was barred by financial regulator FINRA after pleading guilty to charges[...]
Sam Aziz (CRD#: 1721932) is a registered broker and investment advisor. Since July of 2018, Mr. Aziz has been employed at David A. Noyes &[...]