Linda Lucille Sokol Francis Barred by FINRA Following Discretion Violations and Customer Disputes September 23, 2025 Linda Lucille Sokol Francis (CRD# 811073), a former investment adviser and broker based in Brookfield, Illinois, has been permanently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). This enforcement action followed her refusal to cooperate with a FINRA investigation into her use of discretion in customer accounts without written authorization. The […] Read More
William C. Burks II Suspended by FINRA Over Unsuitable Investment Recommendations September 23, 2025 William Charles Burks II (CRD# 2944992), a Flower Mound, Texas-based investment advisor affiliated with Centaurus Financial, Inc., has been suspended by the Financial Industry Regulatory Authority (FINRA). The disciplinary action stems from allegations that Burks recommended high-risk, illiquid investments to clients whose financial goals and risk profiles did not support such strategies This investor alert […] Read More
Sean P. Righter of Morgan Stanley Faces Multiple Customer Disputes September 7, 2025 Sean P. Righter (CRD# 5419832) is a former financial advisor who was registered with Morgan Stanley from June 2009 through February 2025. According to records maintained by the Financial Industry Regulatory Authority (FINRA) BrokerCheck, Righter has a concerning history that includes five customer disputes, three of which have been resolved through substantial settlements and two of […] Read More
Levin Law
Levin Law