October 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 moreOctober 2017-Austin, Texas According to FINRA records, Paul Jacobs, a stockbroker who is currently employed by Cape Securities, discloses a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreAPRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…
read moreMay 5, 2015 Cape Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…
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