Foreign companies don’t need a Wall Street IPO to trade in the United States. If you are a non-U.S. company looking for liquidity, price discovery, and a U.S. dollar ticker symbol, the OTC Markets—OTCQX, OTCQB, and OTC Pink—offer a faster and often cheaper path than a traditional exchange listing on the NYSE or Nasdaq. What […]

One or more investors possibly experienced losses because of securities broker Helen Susan Rothlein (also known as Helen DiPippo) [CRD: 709040, Boca Raton, Florida], according to public information found on FINRA BrokerCheck. Evidently, Rothlein has worked for Morgan Stanley since June 1, 2009, operating out of its Boca Raton, Florida and New York, New York […]

Investors potentially experienced sales practice violations due to securities broker Michael Barry Lipschutz [CRD: 2824722, Rochester, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lipschutz worked for UBS Financial Services Inc. from September 10, 2012, to April 18, 2022. Read on to learn more about the disclosures concerning Lipschutz. Client […]

Investors apparently complained about securities broker Eric Kazuyoshi Takao [CRD: 804445, Honolulu, Hawaii], based on disclosures found on FINRA BrokerCheck. Evidently, Takao has worked for NYLIFE Securities LLC since September 27, 1982. Keep reading to find out more about the disclosures involving Takao and how they may have affected investors. NYLIFE Securities LLC Investor Accused […]

FINRA barred securities broker Mario L. Martinez [CRD: 6144561, Fort Lauderdale, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez worked for Merrill Lynch from October 23, 2015, to February 5, 2025. Read below to learn more about the disclosures involving Martinez. FINRA Sanctioned Martinez For Failure To Provide Documents […]

DANIEL MICHAEL ROPER (DANIEL M ROPER), according to a FINRA report dated 7/17/2025, was fined by FINRA $15,000.00, suspended for 2 years, and $80,747.00 in disgorgement over allegations that he allegedly engaged in profit sharing with a client who was a family member.  Roper was registered from 03/25/2019 - 09/15/2023 with CHARLES SCHWAB & CO […]

WILLIAM CHARLES BURKS II (BILL BURKS II, WILLIAM C BURKS II) is currently listed as a broker since 8/29/2000, and as an investment advisor since 11/8/2011, with CENTAURUS FINANCIAL, INC. of Flower Mound, Texas. Burks was recently fined and suspended by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, WILLIAM C […]

Investors might have sustained losses due to securities broker Parviz Paul Pourfarid [CRD: 2112613, Charlotte, North Carolina], according to disclosures found on FINRA BrokerCheck. Evidently, Pourfarid worked for Western International Securities from December 7, 2010, to July 9, 2025, and later joined Innovation Partners LLC on August 20, 2025, as well as IP Financial Advisory […]

Investors reportedly complained about securities broker Richard Anthony Panno [CRD: 724727, North Palm Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Panno has worked for Buckman, Buckman Reid Inc. since April 28, 2010. Keep reading to learn more about disclosures involving Panno. Buckman Buckman Reid Investor Accused Panno Of Failure […]