Investors might have sustained losses due to Lina Maria Garcia [CRD: 4447599, Miami, Florida], and SEC took legal action against the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia worked for Insigneo Securities LLC from April 21, 2010, to September 9, 2021. Keep reading to learn more about Garcia’s disclosures […]

Evidently, FINRA issued an Acceptance, Waiver Consent (AWC) on April 25, 2019, sanctioning Harry Buckman for supervisory failures. Notably, FINRA found that Buckman failed to adequately oversee two former registered representatives at his firm, resulting in unsuitable and excessive trading in multiple investors' accounts. Because of this, Buckman faced civil fine of $20,000, a suspension […]

SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman Michael Allan Bressman (CRD#: 873973, Chatham, New Jersey) has been a registered representative of FCG Advisors, LLC from February 4, 2000 to May 16, 2018. The Securities and Exchange Commission (“SEC”) filed a Complaint against […]