Yousuf Saljooki Investigation February 2022-Melville, NY The FINRA records of Yousuf Saljooki, a broker who formerly worked for SW Financial (Salomon Whitney Financial) and Worden Capital Management, disclose 7 final regulatory…
read moreOctober 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 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 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…
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