NatAlliance Securities March 2023- Austin, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based NatAlliance Securities (CRD 39455) was censured and fined $40,000 for mismarking bonds and…
read moreApril 2021- Boca Raton, FL The FINRA records of Adam C. Goodman , a registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. , disclose 2 pending customer…
read moreAugust 2018- Parsippany, New Jersey The FINRA records of Mamode A. Oozeerally (“Sony”) , a stockbroker who is employed by Hennion & Walsh disclose two prior customer disputes and a pending customer dispute. The Financial…
read moreFebruary 2019- Parsippany, New Jersey The FINRA records of Stephen G. Kowalski , a stockbroker who is employed by Hennion & Walsh disclose a prior final customer dispute and 4 currently pending customer disputes. The…
read moreOctober 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…
read moreJuly 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in Mitchelfield , NY, and three of their brokers…
read moreJuly 2017- Castle Rock, CO According to publicly available records James K. Pheney (CRD#1272932) , a stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. , disclose a pending customer dispute.…
read moreUPDATE AUGUST 2018– Parsippany, New Jersey FINRA Records for Joseph I. Rodriguez disclose the following: August 2017, FINRA case 16-1032 (see below) was settled for $60,000, with broker Joseph I.…
read moreApril 2017- Parsippany, New Jersey The FINRA records of Sean M. Logue , a stockbroker who is employed by Hennion & Walsh disclose 2 prior final customer disputes and a currently pending customer dispute.…
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