Aldo Comuzzi, a stockbroker who formerly worked for Dawson James Securities in Boca Raton, FL, was named in FINRA Arbitration 15-01203, alleging that Comuzzi traded the customer’s account without permission.…
read moreFINRA records report that Christopher F. Veale , of New York, who is not currently registered, is currently named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…
read moreJanuary 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…
read moreNovember 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…
read moreFebruary 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…
read moreNovember 3 , 2015 Daniel Kasbar entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide documents and information…
read moreDecember 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay a 92 year old widow over $1 million for churning her account. The victim…
read moreOctober 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…
read moreUPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more. September 15, 2015- Boca Raton, FL Aldo Comuzzi , entered into a Letter of Acceptance Waiver…
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