September 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…
read morehttp://blog.rexsecuritieslaw.com/2018/03/23/raymond-j-pirrello-jr-churning-investigation/ UPDATE July 2016–Pirrello named in insider trading complaint filed by the Securities and Exchange commission. See this for details. UPDATE June 2016-Former Garden State Securities stock broker Raymond J. Pirrello…
read moreUPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…
read moreMarch 23, 2016, NYC According to his official FINRA records, James N. Forster was discharged from Joseph Gunnar & Co. in December, 2015, for “wrongful taking of personal items”. Forster…
read moreMarch 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…
read moreJames C. Hopkins, a Boca Raton, FL, stockbroker registered with Dawson James Securities, is named in a customer dispute alleging that he made misrepresentations in connection with an investment banking offering…
read moreMarch 29, 2016-Garland, Texas The Texas State Securities Board (TSSB) announced that Derek A. Nelson was sentenced to 19 years in connection with a $37 million fraud he operated selling…
read moreAldo Comuzzi, a stockbroker who formerly worked for Dawson James Securities in Boca Raton, FL, was named in FINRA Arbitration 15-01203, alleging that Comuzzi traded the customer’s account without permission.…
read moreUPDATE December 2016–Aldo Marchena discloses two customer disputes on his FINRA record. FINRA Case 16-1918-in which a customer of Northeast Securities alleges damages of $75,000 for breach of fiduciary duty by…
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