SEC Investigation

David Endom (CRD #: 5183364), a broker formerly registered with BB&T Securities, has been censured by the SEC, according to his BrokerCheck record, accessed on […]

Laren Pisciotti (CRD #: 5618797), a broker formerly registered with TD Ameritrade, is involved in a pending SEC lawsuit, according to her BrokerCheck record, accessed […]

Daniel Madasz (CRD #: 1035237), a broker formerly registered with Multi-Financial Securities Corporation, has been barred by the SEC, according to his BrokerCheck record, accessed […]

Michael Braun (CRD #: 4197374), a broker formerly registered with BB&T Securities, was involved in an SEC action, according to his BrokerCheck record, accessed on […]

Darryl Cohen (CRD #: 2786613), a broker formerly registered with Morgan Stanley, is involved in multiple pending SEC actions and investor disputes, according to his […]

John Cucinella (CRD #: 2614279), a broker formerly registered with Meyers Associates, is the subject of a pending SEC action, according to his BrokerCheck record, […]

Ricky Mantei (CRD #: 1098981), a broker registered with Centaurus Financial, was recently investigated by the SEC, according to his BrokerCheck record, accessed on August […]

Atul Makharia (CRD #: 5070762), a broker registered with Centaurus Financial, was the subject of an SEC investigation, according to his BrokerCheck record, accessed on […]

Robert High (CRD #: 4568165) has been barred from FINRA, according to his BrokerCheck record, accessed on June 3, 2022. If you have questions about […]

Nancy Cole (CRD #:2900724), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to her BrokerCheck […]