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Former Cetera Advisors Broker Walter Allen Barred by FINRA After Refusing to Cooperate with Investigation Alleging Discretionary Trading Without Authorization

September 19, 2021

Walter Allen (CRD#: 1344149) is a previously registered Broker. He entered the securities industry in 1985 and previously worked for Cetera Advisors, LLC; Investors Capital Corp.; Coburn & Meredith, Inc.; Ryan Beck & Co.; Gruntal & Co., LLC; Tucker Anthony Incorporated; Kidder, Peabody & Co., Incorporated; and Shearson Lehman Hutton, Inc.   According to publicly…

Broker Ronald Giovino Barred Indefinitely by FINRA After Failing to Cooperate in Investigation Into Allegations of Breaking Fiduciary Duty to Clients

September 16, 2021

Ronald Giovino (CRD#: 2236071) is a previously registered Broker. He entered the securities industry in 1992 and previously worked for Legend Equities Corporation; GWN Securities, Inc.; Money Concepts Capital Corp.; Royal Alliance Associates, Inc.; Prime Capital Services, Inc.; Legend Equities Corporation; and Legend Capital Corporation.   According to publicly available records released by the Financial…

Financial Advisor Joseph Lianzo, SW Financial, Suspended by FINRA After Allegations of Excessive Trading

September 16, 2021

Joseph Lianzo (CRD#: 4516842) is a registered Broker at SW Financial in Melville, NY. He entered the securities industry in 2002 and previously worked for Arrive Capital Markets; Laidlaw & Company (UK) Ltd.; Cape Securities, Inc.; Salomon Whitney LLC; J.P. Turner & Company, LLC; New Castle Financial Group, Inc.; Newbridge Securities Corporation; Harrison Securities, Inc.;…

RBC Capital Markets Financial Advisor Joseph Chu Has Seven Customer Complaint Disclosures, Including Pending Complaint For Overconcentration in Energy Securities

September 16, 2021

Joseph Chu (CRD#: 4546805) is a dually registered Broker and Investment Advisor at RBC Capital Markets, LLC in Stamford, CT.  He entered the securities industry in 2002 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021,…

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