March 2017- Westport, CT According to publicly available records Source Capital Group, (CRD# 36719) , a broker dealer with headquarters in Westport, CT, discloses 8 prior final regulatory events, one regulatory event that…
read moreDecember 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) , a stockbroker who is currently under suspension who was last employed by Source Capital Group, disclose a recent regulatory…
read moreJanuary 8, 2016- Rowayton, CT James J. Nixon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Bridge…
read moreMarch 19, 2015 – Connecticut Andre Paul Young entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from June 2010 to June…
read moreWestport, CT UPDATE APRIL 2017–Donald Saccomano was suspended by FINRA in 4/2017 for failing to respond to a FINRA request for information. FINRA records indicate that he ceased working for Source…
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