July 2021- NYC According to his FINRA record Michael Androulakis, a financial advisor employed by Alexander Capital discloses 2 regulatory events and 4 customer disputes. The Financial Industry Regulatory Authority…
read moreJuly 2019-New York, NY The FINRA records of Michael Salvatore Stanton, a financial advisor employed by Worden Capital Management disclose 2 regulatory events, 3 prior customer disputes, 1 pending customer dispute, a…
read moreAugust 2018-Melville, New York According to FINRA records, Stephen J. Sullivan, a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) , discloses a prior regulatory event, a pending customer dispute, a…
read moreNovember 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…
read moreMarch 2018 – New York The FINRA records of Joseph M. Thurnherr, a stock broker who is currently employed by Spartan Capital Securities disclose two prior regulatory matters, three pending customer disputes , three prior final…
read moreFINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…
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