September 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…
read moreSeptember 2021- New York The FINRA records of Anthony Sica , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit, 3 regulatory sanctions and 3 prior…
read moreJuly 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for David Lerner Associates, discloses a regulatory resulting in a suspension and fine…
read moreApril 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…
read moreFebruary 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya , a former stock broker who last worked for Kovack Securities, Inc. , disclose a regulatory event resulting in a bar from the…
read moreSeptember 2019 – Port Chester, NY The FINRA records of Jamie R. Rodriguez, a former stockbroker who was last employed by Cuso Financial Services disclose he has been barred from the securities industry…
read moreJune 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) , a stockbroker who is currently not registered discloses a regulatory event and 2 settled customer disputes .…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreFebruary 2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459) a stockbroker previously employed by BCG Securities, Inc., discloses a regulatory event, a civil event, 3 customer…
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