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Tag:
unsuitable recommendations
April 23, 2026
FINRA Permanently Bars Peter Thomas Lawrence for Refusing to Cooperate with Investigation into Alleged Signature Forgery
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 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 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 21, 2026
FINRA Suspends Keith M. Dagostino Two Years for Unsuitable Recommendations to Retired and Senior Investors at Aegis Capital
February 8, 2026
FINRA files complaint against John Dennis Lowry of Spartan Capital Securities alleging $3.25 million in undisclosed markups on private placements
November 7, 2025
FINRA suspends Antonio Molinos of Spartan Capital Securities for excessive trading that cost a retired customer $87,920 in losses
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