Broker Alan New Is Barred By FINRA, Targeted In SEC Lawsuit Over Woodbridge Sales The Financial Industry Regulatory Authority (“FINRA”) reportedly barred securities broker Alan Harold New (CRD#: 2892508, Fort Wayne, Indiana) in April 2020. This means that New, who last worked for NYLife Securities, cannot be a securities broker for all FINRA member securities […]

Unauthorized Woodbridge Investment Referrals Made In Connection With Lincoln Financial Broker Imran Razvi's Outside Business Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Imran Razvi (CRD#: 3042006, Frederick, Maryland). Notably, the BrokerCheck Report on Razvi shows that FINRA issued Razvi a fine and a suspension for violating FINRA rules. The watchdog temporarily […]

Broker Roger Owens Allegedly Deceived Investors Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Roger Lee Owens [CRD#: 2359204, Elkton, Maryland]. Notably, at least 4 clients filed formal disputes about the securities broker, who worked for Cetera Advisors between 2007 and 2019. Also, FINRA issued him a […]