December 2, 2015- Boca Raton, FL Summit Brokerage Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…
read moreThe Financial Industry Regulatory Authority (FINRA) reports that G.A. Repple & Company broker Frederick P. Bremer has been named in an arbitration filed by a client who is seeking damages…
read moreFebruary 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between February 2009 and…
read moreUPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…
read moreMarch 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…
read moreFebruary 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…
read moreFebruary 29, 2016- Miami, Florida The Sun Sentinel reports that Thomas A. Guerriero, 39, of Hillsboro Beach, FL, pleaded guilty to one count of conspiring to commit mail and wire…
read moreScotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…
read more1/21/2016- Grand Rapids, MI David McQueen‘s conviction and 30 year prison sentence for mail fraud, money laundering and tax charges was upheld by the Sixth Circuit Court of Appeals in Cincinnati.…
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