William Weisbrod Barred over Allegedly Risky Strategy
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William Weisbrod (CRD# 812664), formerly a broker registered with Purshe Kaplan Sterling, breached his fiduciary duties, according to a recent disciplinary action. MDF Law is currently investigating the Fairfield, New Jersey-based financial professional for similar conduct. We encourage investors with concerns to contact us immediately. For more information about the allegations against Mr. Weisbrod, who […]
Sara Qazi: FINRA Suspends Raymond James Broker
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Sara Qazi (CRD# 4118177), a broker registered with Raymond James & Associates, participated in an unapproved private securities transaction, according to a disciplinary action. MDF Law is investigating the Beverly Hills-based financial professional for similar conduct. We encourage investors with concerns about their accounts to contact us as soon as possible. Details regarding the allegations […]
Keith Curtis Barred by FINRA: “Potential Conversion of Funds”
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Keith Curtis (CRD# 4798755), formerly a broker registered with Aegis Capital, refused to cooperate with an investigation into whether he converted funds, according to an enforcement action. MDF Law is investigating the former Tampa, Florida-based financial professional for allegations of similar conduct. We encourage investors with concerns about their accounts to contact us for a […]
Bob Marquez Barred by FINRA: Pre-IPO Private Placements
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Bob Marquez (CRD# 2266269), formerly a broker registered with Investment Network, refused to cooperate with an investigation, according to a 2023 enforcement action. MDF Law is currently investigating the former Smithtown, New York-based financial professional for potential misconduct. If you have concerns regarding your investments, contact us for a free consultation. To learn more about […]
Jilena Yuen-Han Mok Sanctioned: Unauthorized Trading Allegations
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Jilena Yuen-Han Mok (CRD# 6115674), a broker registered with Aegis Capital, effected unauthorized trades, according to a disciplinary action. MDF Law is investigating the San Francisco-based financial professional, formerly registered with Edward Jones, for similar conduct. If you have concerns about your accounts, contact us for a free consultation. To learn more about the allegations […]
Kevin Zappia Suspended over Trading Allegations
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Kevin Zappia (CRD# 1360824), a broker registered with The Investment Center, violated securities industry rules, according to a recent sanction. MDF Law is currently investigating the Manlius, New York financial professional for similar conduct. We encourage investors with concerns about their accounts to contact us immediately. For more information about the allegations against him, continue […]
Rick Leininger: FINRA Suspends Broker over Trading Allegations
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Rick Leininger (CRD# 809473), a broker registered with The Investment Center, violated securities industry rules, according to a disciplinary action against him. MDF Law is investigating the Freeport, Illinois-based financial professional for similar conduct. We encourage investors with concerns about their accounts to contact us as soon as possible. To learn more about the allegations […]
Gus Rodrigo: FINRA Suspends Sutter Securities Broker
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Gus Rodrigo (CRD# 3031284), a broker registered with Sutter Securities and Boustead Securities, made unauthorized trades in a customer’s account, according to a Financial Industry Regulatory Authority (FINRA) sanction. MDF Law is investigating the Boca Raton-based broker for allegations of similar conduct, and investors with concerns should call us immediately. The below details are based […]
FINRA Suspends MML Broker Tony Cross
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Tony Cross (CRD# 3155726), an MML Investors Services broker, made unauthorized trades, according to a regulatory action suspending him from acting as a broker. MDF Law is investigating the Edmond, Oklahoma-based financial professional for similar conduct. We encourage investors with concerns to contact us as soon as possible. Details about the allegations against him are […]
Patrick Cavanagh Suspended over 6-Figure Arbitration Award
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Patrick Cavanagh (CRD# 5186630), formerly a broker registered with Spartan Capital Securities, failed to comply with an arbitration award, according to a recent Financial Industry Regulatory Authority (FINRA) suspension. MDF Law is investigating the former New York City broker for allegations of similar conduct. Investors with complaints should contact us as soon as possible. FINRA […]