Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Roger Philip Turcotte [CRD: 1180997, Tampa, Florida]. Recent regulatory actions highlight concerns regarding Turcotte’s conduct, specifically allegations involving inaccurate recordkeeping and violations of firm policies. Regulatory Action by FINRA On September 3, 2024, FINRA initiated disciplinary action against Roger Turcotte, citing violations related to […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Andrew Justin Grant (also known as Andy Grant) (CRD: 2709882, Melville, New York). Not only has FINRA sanctioned Grant for engaged in discretionary trading, but investors disputed his sales practices. However, Grant denies the allegations. Read on to learn more about the allegations […]

JOHN MORABITO Give You Unsuitable Advice? If you invested through Merrill Lynch securities broker John Morabito (CRD#: 4651112, Alpharetta, Georgia), he possibly gave you bad advice. Particularly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least one client complained about his sales practices. Here’s more on the dispute concerning Morabito: Merrill Lynch Client Suggests […]

Boca Raton Broker Robert David Child Sued For Unsuitability Soreide Law Group is investigating claims on behalf of customers who invested with Robert David Child (CRD#: 500359, Boca Raton, Florida). Robert David Child has worked for brokerage firms including National Securities Corp (November 12, 2012 to September 18, 2017), vFinance Investments Inc. (August 8, 2001 […]

Cantor Fitzgerald & Co. (CRD #134, New York, New York) was censured, fined $65,000 and required to revise its WSPs (Written Supervisory Procedures). Allegedly, Cantor Fitzgerad & Co. failed to publish immediately a bid or offer that reflected the price and the full size of customer limit orders for over-the-counter (OTC) equity securities, held by […]