Skip to content
Rosenberger
+
Kawabata
Practice Areas
Business Litigation
Securities Arbitration
Federal Claims
Attorneys
Elliot Rosenberger
Makoa Kawabata
Results
Blog
Contact Us
Tag:
FINRA arbitration
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 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 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
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
1
2
Next Page
Let’s Talk.
Contact Us Today