October 2016-Farmingdale, NY The FINRA records of Thomas J. Tedeschi, a stockbroker who is currently employed by Salomon Whitney Financial disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…
read moreAPRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of Barry M. Kiront, a stockbroker who is currently employed by Craft Capital Management disclose 10 prior…
read moreOctober 2016-Gunter, Texas The Texas State Securities Board (TSSB) entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…
read moreOctober 3, 2016-San Antonio, Texas mySA reports that bankruptcy court judge Craig Gargotta denied Brian Alfaro’s request to dismiss allegations of fraud, civil conspiracy, negligent misrepresentation, and violations of securities…
read moreOctober 2014 The FINRA records of Investors Capital Corp., a broker dealer headquartered in Lynnfield, MA, that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…
read moreSeptember 2016-Bee Cave, Texas The FINRA records of Stephen M. Scheurer, a stockbroker who was formerly employed by Century Securities Associates disclose a recent regulatory event with the Texas State Securities Board, 2 prior finalized customer…
read moreSeptember 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…
read moreJuly 2016-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…
read moreOctober 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…
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