Dawsonville, Georgia According to FINRA records, Robert L. Rosenstein , a stock broker formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012 and 5 pending judgment/liens. He is…
read moreNew York According to FINRA records, Johnathan W. McHale , a stock broker formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreLos Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…
read moreThe 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 as well…
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 morePort Chester, New York According to FINRA records, Douglas C. Robb, Jr. , a stockbroker who was recently employed by Cuso Financial Services , discloses a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
read moreWe are evaluating potential investor cases for persons who may have suffered losses on Minerva-Rockdale E&P IV. The Minerva-Rockdale E&P IV, LLC, private placement offering in March 2013, authorized the issuer Euro…
read moreInvestors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their losses through arbitration. On May 16, 2016,…
read moreNew York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation. …
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