Skip to content
Rosenberger
+
Kawabata
Practice Areas
Business Litigation
Securities Arbitration
Federal Claims
Attorneys
Elliot Rosenberger
Makoa Kawabata
Results
Blog
Contact Us
Author:
Rosenberger + Kawabata
April 23, 2026
FINRA Permanently Bars Peter Thomas Lawrence for Refusing to Cooperate with Investigation into Alleged Signature Forgery
April 23, 2026
FINRA Suspends Christine Cantone in Principal and Supervisory Capacities for Failure to Supervise Private Placement Fraud
April 23, 2026
FINRA Bars Park Ridge Broker James Thaddeus Walesa After Investigation into $300,000 Speculative Private Placement Sold to an 85-Year-Old Client and Her Daughter
April 18, 2026
FINRA Files Complaint Against Irvine Investment Banking CEO Keith Charles Moore and His Member Firms Alleging Failure to Implement Anti-Money Laundering Program for Small-Cap IPO Business
April 16, 2026
FINRA Disciplines Anthony Cantone of Cantone Research for Concealing Material Facts in Private Placement
April 10, 2026
Ralph A. Jackson III, former Morgan Stanley broker, has $7.38 million in customer dispute settlements disclosed on BrokerCheck
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
Previous Page
1
2
3
4
Next Page
Let’s Talk.
Contact Us Today