Melville, NY UPDATE JULY 2017-In 11/2016 Matthew DiGregorio was permanently barred from the securities industry by FINRA for failing to pay an award as ordered by a FINRA arbitration panel…
read moreNew York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…
read moreTampa, Florida A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages of over $150,000 to two former customers of Legend Securities, Inc. who brought the action for losses suffered…
read moreMelville, New York SEE THIS FOR AUGUST 2018 UPDATE-Sullivan now employed by SW Financial and is subject of $500K customer suit. Original Post June 2016 According to FINRA records, Stephen J.…
read moreMay 2016-Pompano Beach, FL The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 2018 Update–See this. May 2016- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…
read moreMARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE August 2016–William Gennity Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- NYC The Financial Industry…
read moreMay 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…
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…
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