October 2019- Farmingdale, New York The FINRA records of Michael L. Oromaner disclose 4 regulatory matters that have been finalized, 11 final customer disputes, 2 pending customer disputes and 2 outstanding…
read moreSee this for February 2019 update. Jeffrey Lance Offen left Salomon Whitney Financial in 5/2016 and worked for Craft Capital Management from 10/2016-9/2017. He is not currently registered as a…
read moreFarmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…
read moreApril 2016-Tyler, Texas Robert Hahn, a 64 year old former Tyler insurance agent was sentenced to serve 36 months in federal prison for wire fraud and money laundering , according…
read moreMarch 2016 The US Attorney’s Office for District of South Carolina announced that Claus C. Foerster, age 55, of Spartanburg, South Carolina was charged in a 5 count indictment with…
read moreApril 2016- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 2016- Orangeburg, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 2016- Boston The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…
read moreApril 2016- Oklahoma City, OK UPDATED February 2018-See this for current details. UPDATE MAY 2017–FINRA Records disclose that Jay D. Jordan currently has 9 pending and 4 prior customer disputes. The…
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