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broker misconduct
June 19, 2026
FINRA complaint alleges Sutter Securities and former CEO Keith Moore failed to stop $2.5 million in excessive trading in an 89-year-old client’s accounts
April 23, 2026
FINRA Suspends Robert Settimio Cupello for Unsuitable Variable Annuity Exchanges Targeting Six Senior Customers
April 23, 2026
FINRA Permanently Bars Peter Thomas Lawrence for Refusing to Cooperate with Investigation into Alleged Signature Forgery
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 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
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