Close

Articles Posted in failure to supervise

Updated:

Financial Advisor Cynthia Diane Cowden (CRD# 2054676) BARRED by FINRA for Recommending High- Risk Investments to Three Senior Customers – Lake Isabella, CA

**Update: 3/22/2021** Ms. Cowden has been the subject of two additional customer disputes since November 2020.  First, in November 2020, a customer filed a securities arbitration complaint alleging $400,000 in damages concerning a real estate security recommendation.   The causes of action included breach of fiduciary duty, unauthorized trading, and elder…

Updated:

Financial Advisor Frank Venturelli (CRD# 6403468) SUSPENDED by FINRA – New Jersey   

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).…

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