January 2017 The U.S. Securities and Exchange Commission (SEC) issued an Investor Alert to help investors identify excessive trading in their brokerage accounts. The SEC suggests that investors look for…
read moreFebruary 2017- Oak Brook, Illinois According to publicly available records Matthew Christopher Maczko , (CRD# 1888519) , a former stockbroker who was last employed by Wells Fargo Advisors, LLC, discloses that FINRA has permanently…
read moreNovember 2016-Arlington, Texas The FINRA records of Peyton N. Jackson, a stockbroker who is not currently registered and who was last employed by Alexander Capital, LP. disclose a recent regulatory matter that is final, 7…
read moreSeptember 2019- Allentown, PA The FINRA records of Barry T. Eisenberg, a stock broker employed by Alexander Capital, L.P. disclose a regulatory event, a prior customer dispute and a prior financial event.…
read moreAugust 2016- Fort Salanga, New York The FINRA records of Francine A. Lanaia, a stock broker who is currently employed by Meyers Associates disclose a currently pending regulatory event, two prior regulatory events, a currently…
read moreMARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…
read moreOctober 2019- Coram, NY The FINRA records of John J. Santariello , a stock broker who is not currently registered with any broker dealer and who last worked for Arive Capital Markets, disclose …
read moreRockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…
read moreUPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…
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