A National Securities Arbitration & Investment Fraud Law Firm
The Financial Industry Regulatory Authority Inc. has barred former Waddell & Reed broker, Robert Lee Basile (CRD #2392772). He faces two years of probation after pleading guilty to embezzlement and theft from an elder. Basile’s mother opened a brokerage account with Waddell and Reed in 2014, shortly after his son…
Silver Law Group is investigating former Arizona-based LPL Financial LLC (CRD# 6413) broker Dominic T. DeBruin (CRD# 2788196) after FINRA permanently barred the broker. According to DeBruin’s FINRA BrokerCheck report, FINRA permanently barred DeBruin from acting as a broker or otherwise associating with firms that sell securities to the public.…