November 2016-Palm Beach, Florida The FINRA records of Anthony J. Mazzo, a stockbroker who is currently employed by BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…
read moreAugust 2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel , a stock broker who is currently employed by Oppenheimer & Co. , disclose five prior customer disputes and and one financial event. The Financial Industry Regulatory…
read moreJuly 2016- Syosset, NY The FINRA records of Allen B. Holeman , a stock broker who works for David Lerner Associates , disclose a currently pending regulatory matter and 2 outstanding judgement/liens The Financial Industry Regulatory Authority (FINRA) is…
read moreJuly 2016- New York The FINRA records of Maximillian Santos , a stock broker who most recently worked for Blackbook Capital, LLC , disclose a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…
read moreHouston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico, sought damages of $17 million From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…
read moreBoca Raton, Florida According to FINRA records, Matthew J. Ronan , a stock broker who works for ViewTrade Securities discloses a customer dispute that has been finalized and a pending regulatory investigation. The Financial…
read moreAPRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…
read moreMARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…
read moreMarch 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…
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