Articles Tagged with financial advisor malpractice

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FINRA has suspended Frank Venturelli from the securities industry for 11 months.  Frank Venturelli was a financial advisor and registered representative at the following firms:

  • Arive Capital Markets, Bay Ridge, NY (September 2019 to December 2019); and
  • First Standard Financial Company LLC, Red Bank, NJ (November 2014 to September 2019).
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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 2018 to August 2019); and
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