Christopher Voccola (CRD #: 2963678), a broker registered with Madison Global Partners, is involved in a customer dispute over $2,500,000, according to his BrokerCheck record, accessed on December 14, 2020. On September 14, 2020, a client alleged that Christopher Voccola recommended unsuitable investment recommendations. The client is seeking $2,500,000; the dispute is pending. On August…

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When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full May 2020 report can be viewed here. In the most serious…

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In April 2018 FINRA published a quarterly disciplinary review containing summaries of disciplinary actions taken by the organization. The review encompasses both settlements and decisions in litigated cases involving alleged misconduct by registered representatives. Following are brief recaps of the matters discussed therein. One settlement involved allegations that a representative recommended that retail customers purchase…

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Publicly available records published by FINRA and accessed on May 15, 2018 indicate that more than one dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms this month. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in October, more than thirty brokers and/or investment advisers were reported in that month as suspended from associating with FINRA firms. The following registered representatives have agreed to these sanctions without admitting or denying the alleged underlying conduct. Some of these suspensions…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in October, more than twenty dozen brokers and/or investment advisers were reported in that month as barred from associating with FINRA firms. The following registered representatives have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in September, more than two dozen brokers and/or investment advisers were reported in that month as suspended from associating with any FINRA firm. The following registered representatives have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in September, a number of brokers and/or investment advisers were reported in that month as barred from associating with FINRA firms. The following individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in July, more than a dozen registered representatives were reported in that month as barred from associating with FINRA firms. The following representatives have signed Letters of Acceptance Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying the…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in June, more than 30 brokers and/or investment advisers were reported in that month as suspended from associating with FINRA firms. The following individuals have agreed to these sanctions without admitting or denying the alleged underlying conduct. Some of these suspensions may…

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