July 2016- The FINRA records of Janet Ross , Chief Compliance Officer of Accelerated Capital Group , disclose 3 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.…
read moreJuly 2016- Boynton Beach, Florida The FINRA records of Pamela Posey , a stock broker who formerly worked for Securities America, disclose a pending financial event and 3 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the…
read moreJuly 2016- Tyler, Texas The FINRA records of Ronnie W. Shaffer , a stock broker who works for OneAmerica Securities, disclose 7 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…
read moreMARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr. has 9 prior final customer disputes and…
read moreMelville, 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 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 moreMAY 2017 UPDATE-FINRA records indicate that William M. Ditty, Jr. is not currently registered with any broker dealer. ORIGINAL POST-July 2016– Dublin, Ohio The FINRA records of William M. Ditty, Jr. , a stock broker…
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 moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla , a stock broker currently employed by NEXT…
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