Michelle Wu Terminated from Principal Securities and Fined by Regulator


Michelle Wu (CRD# 3046373), a California based broker was terminated by Principal Securities on May 10, 2022 and was then fined by the Financial Industry Regulatory Authority, or FINRA. This information is based on her public BrokerCheck report, which was last accessed on June 20, 2023. Michelle Wu Discharged by Principal Securities On May 4, […]

Matthew Mierzycki Fired by Edward Jones


Matthew Mierzycki (CRD# 6102769) was recently fired by Edward Jones over alleged rule violations. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on December 8, 2021, Mr. Mierzycki has also has been involved in a customer complaint. Mierzycki Terminated Over Discretionary Trading Allegations In October 2021, Edward Jones terminated Matthew Mierzycki’s registration […]

Oklahoma Regulators Censured Robert Franden Over Discretionary Trading

Oklahoma Regulators Censured Robert Franden Over Discretionary Trading

Robert Franden (CRD# 2402061), a Tulsa-based broker and investment adviser, was recently sanctioned by securities regulators, according to Financial Industry Regulatory Authority records accessed on November 2, 2021. He was sanctioned in a joint order with Kevin Doyle.  If you have complaints regarding investments made with Mr. Franden, call MDF Law at 800-767-8040 for a […]