Darryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…
read moreWilliam Athas Investigation May 2022-Melville, New York The FINRA records of William N. Athas, a former stock broker who was last employed in the industry by SW Financial , disclose a regulatory…
read moreJuly 2016-Ronkonkoma, NY According to publicly available records Patrick C. Gugliotta , (CRD# 5033421) , a stockbroker who was formerly employed by K.C. Ward Financial, discloses a pending customer dispute. The Financial Industry…
read moreJanuary 2016-Ronkonkoma, NY According to publicly available records Carlos N. Evertsz-Seda , (CRD# 4285605) , a stockbroker who is currently employed by K.C. Ward Financial, discloses a pending customer dispute. The…
read moreOctober 2019- Coram, NY The FINRA records of John J. Santariello , a stock broker who is not currently registered with any broker dealer and who last worked for Arive Capital Markets, disclose …
read moreAugust 2016- Ronkonkoma, NY The FINRA records of Joseph F. Comiskey, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose a currently pending customer dispute, 2 prior customer disputes,…
read moreJune 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima , a former stock broker who was last employed by K. C. Ward Financial disclose 3 prior regulatory events, 5 prior customer disputes, 2…
read moreAugust 2016- Ronkonkoma, NY The FINRA records of Thomas J. Briguccia, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose 3 currently pending customer disputes, a6 prior customer disputes…
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