FINRA Suspension

Kate Lam (CRD #: 7537388), a broker formerly registered with TD Securities (USA), has been suspended by FINRA, according to her BrokerCheck record, accessed on […]

Kwame Bissah (CRD #: 7044974), a broker formerly registered with LPL Financial, has been investigated by FINRA, according to his BrokerCheck record, accessed on January […]

David Kyi (CRD #: 2798134), a broker registered with SogoTrade, has been suspended by the SEC, according to his BrokerCheck record, accessed on January 4, […]

Matthew Higgins (CRD #: 4209849), a broker registered with Barclays Capital, has been suspended by FINRA, according to his BrokerCheck record, accessed on January 10, […]

Christopher Mullaly (CRD #: 6345942), a broker formerly registered with Finalis Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on January […]

Bryan Corona (CRD #: 6025348), a broker formerly registered with Cetera Investment Services, allegedly failed to update his Form U4 in a timely manner, according […]

Jack Faller (CRD #: 1883661), a broker formerly registered with Crescendo Markets, has been suspended by FINRA, according to his BrokerCheck record, accessed on January […]

Bryan Moskowitz (CRD #: 6063246), a broker registered with NYLIFE Securities, allegedly churned a client’s account, according to his BrokerCheck record, accessed on December 6, […]

Leo Vassallo (CRD #: 1920639), a broker formerly registered with International Assets Advisory, allegedly falsified client signatures, according to his BrokerCheck record, accessed on December […]

Rudy Mejia (CRD #: 6041154), a broker formerly registered with Estrada Hinojosa & Company (CRD#:19299), allegedly engaged in unapproved private securities transactions, according to his […]