FINRA Bars Keith Craig Baron for $359K Oil and Gas Fraud and Undisclosed Kickbacks at CRD 3231494
FINRA has permanently barred broker Keith Craig Baron (CRD #3231494) after finding he promoted a $359,000 oil and gas investment with false guaranteed-return promises while ...
FINRA Suspends Justin Ray Deiter for Churning Elderly Client Account at CRD 5225102
FINRA has suspended broker Justin Ray Deiter (CRD #5225102) after finding he engaged in excessive trading and churning in an elderly client’s account, generating heavy ...
FINRA Suspends Robert Cupello for Unsuitable Variable Annuity Exchanges Targeting Seniors
FINRA suspended broker Robert Settimio Cupello (CRD# 1036533) after finding he recommended unsuitable variable annuity exchanges to six senior customers between July 2021 and December ...
