Articles Posted in financial advisor malpractice

Financial Advisor Cynthia Diane Cowden (crd# 2054676) Barred by Finra for Recommending High- Risk Investments to Three Senior Customers – Lake Isabella, Ca
Iorio Law PLLC

October 23, 2020

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**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 abuse. Second, in January 2021,…

Financial Advisor Frank Venturelli (crd# 6403468) Suspended by Finra – New Jersey
Iorio Law PLLC

October 19, 2020

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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: FINRA alleged that Frank Venturelli excessively traded three accounts between July 2016 and November 2018. Mr. Ventuerrli has also received at least one customer complaint alleging excessive trading and unsuitable…

Financial Advisor Jeffrey Broten (crd# 1006678) Barred by Finra – New Jersey
Iorio Law PLLC

October 16, 2020

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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: FINRA alleged that Jeffrey Broten failed to cooperate with its investigation regarding allegations of unsuitable and unauthorized trading while employed at First Standard Financial Company LLC in Red Bank, New Jersey.…

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Articles Posted in financial advisor malpractice

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