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FINRA Rule 2010
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 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
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
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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