July 2016- Troy, Michigan The FINRA records of David K. Rubenstein , a stock broker currently employed by L.M. Kohn & Company, disclose a prior final customer dispute, a prior final financial disclosure and 2 prior…
read moreNew York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreMelville, New York SEE THIS FOR AUGUST 2018 UPDATE-Sullivan now employed by SW Financial and is subject of $500K customer suit. Original Post June 2016 According to FINRA records, Stephen J.…
read moreJanuary 4, 2016 Carlos Benavidez, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Waddell &…
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