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Latest Blog Posts
  • 21 Jan
    FINRA Suspends Ex-Melville Broker Douglas Szempruch: Suitability

    Douglas Szempruch (CRD# 4159318), previously a stockbroker in Melville, New York, was sanctioned by the Financial Industry Regulatory Authority over...

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  • 20 Jan
    Stu Pearl: Ex-Indianapolis Rep Sanctioned over ETF Allegations

    Former Indianapolis stockbroker Stu Pearl (CRD# 1500833) has been sanctioned by the Financial Industry Regulatory Authority over findings he made...

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  • 19 Jan
    Former SagePoint Rep Gary Bowman Suspended: UIT Allegations

    Gary Bowman (CRD# 2035699) , an ex-SagePoint Financial stockbroker, has been sanctioned by the Financial Industry Regulatory Authority after findings...

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  • 18 Jan
    James Flower: Ex-NYC Rep Barred over VXX ETN Trades

    Ex-Spartan Capital Securities stockbroker James Flower (CRD# 2817701) has been barred from acting as a broker or otherwise associating with...

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