Close

Articles Posted in unauthorized trading

Updated:

Financial Advisor Donatas B. Vildzius (CRD# 2202883) SUSPENDED for a Third Time by FINRA for Excessive Trading – Danbury, CT   

On October 9, 2020, FINRA suspended Donatas B. Vildzius from the securities industry for six months and fined him $5,000.  This sanction is the third time Mr. Vildzius has been suspended by FINRA, with previous suspensions in 2006 and 2014.  Donatas Vildzius is a stockbroker and registered representative at Network…

Updated:

Broker Bryan Mazliach Investigated by FINRA For Excessive Trading in 7 Customer Accounts and Hundreds of Unauthorized Trades

On September 8, 2020, FINRA filed a complaint against former Westpark Capital and Laidlaw & Company broker Bryan Gabriel Mazliach (CRD#: 5518438). The complaint alleges that Mazliach engaged in excessive trading in 7 customer accounts and executed over 400 unauthorized trades in 10 customer accounts. Many of the investors who suffered…

Updated:

Financial Advisor Jeffrey Broten (CRD# 1006678) BARRED by FINRA – New Jersey

FINRA has permanently barred Jeffrey A. Broten from the securities industry. Jeffrey Broten was a financial advisor and registered representative at the following firms: Newbridge Securities Corporation (affiliated with Black River Wealth Management LTD), Morristown, NJ (August 2019 to December 2019); First Standard Financial Company LLC, Red Bank, NJ (February…

Contact Us