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Elliot Rosenberger
Makoa Kawabata
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April 8, 2026
FINRA suspends former Stifel broker Jonathon Mark Webster for recommending unsuitable stock purchases to 19 seniors instead of fee-based accounts, costing customers $121,725 in unnecessary commissions
March 30, 2026
SEC Sustains FINRA’s Findings That William Joseph Kielczewski of Huntington Investment Company Operated an Undisclosed Hedge Fund and Solicited Firm Customers to Invest More Than $10 Million
March 29, 2026
FINRA Suspends Dennis Twarogowski of Independence Capital for Failure to Supervise GWG L Bond Recommendations to Nine Retail Customers, Including Four Seniors
March 12, 2026
FINRA Suspends David John Taddeo for Undisclosed Private Securities Transactions
March 11, 2026
FINRA files complaint against Frederick Joseph Cammarano III alleging supervision failures in churning scheme
March 10, 2026
FINRA files complaint against John Joseph Stapleton of Spartan Capital Securities alleging churning and unsuitable trading
March 9, 2026
FINRA files complaint against former Spartan Capital Securities broker James Robert Pecoraro alleging customer account churning and unsuitable trading recommendations
March 8, 2026
FINRA files complaint against Michael A. Darvish of Spartan Capital Securities alleging excessive trading and Reg BI violations
February 23, 2026
FINRA Permanently Bars Joseph E. O’Shea Jr. of Spartan Capital Securities for Refusing to Testify in Excessive Trading Investigation
February 21, 2026
FINRA Suspends Keith M. Dagostino Two Years for Unsuitable Recommendations to Retired and Senior Investors at Aegis Capital
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