April 2017- Parsippany, New Jersey The FINRA records of Mamode A. Oozeerally (“Sony”) , a stockbroker who is employed by Hennion & Walsh disclose a prior final customer dispute and a currently pending customer dispute. The…
read moreApril 2017- Parsippany, New Jersey The FINRA records of Sean J. McElduff , a stockbroker who is employed by Hennion & Walsh disclose a prior final customer dispute and a currently pending customer dispute. The…
read moreNovember 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…
read moreJuly 2016-New York The FINRA records of Further Lane Securities, L.P. , disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…
read moreOrlando, Florida According to FINRA records, Felix Alberto Bartolomei , a stockbroker employed by Cuso Financial Services , discloses 3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
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 moreJune 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota, consented to the entry of an Order Instituting Administrative and…
read moreJune 10, 2015 Newbridge Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…
read moreMarch 17, 2015 Armen Bahadourian entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in late 2012, while registered with…
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