New York According to FINRA records, Maria Fan, a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm, discloses a currently pending customer dispute and 2 prior…
read moreUPDATE August 2016–Joseph Connolly Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreUPDATE APRIL 2017-In October 2016 Thomas Tedeschi was suspended for a week for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA…
read moreNovember 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and 9 prior customer disputes. The…
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