November 2016-Palm Beach, Florida The FINRA records of Anthony J. Mazzo, a stockbroker who is currently employed by BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…
read moreAugust 2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel , a stock broker who is currently employed by Oppenheimer & Co. , disclose five prior customer disputes and and one financial event. The Financial Industry Regulatory…
read moreJuly 2016- Syosset, NY The FINRA records of Allen B. Holeman , a stock broker who works for David Lerner Associates , disclose a currently pending regulatory matter and 2 outstanding judgement/liens The Financial Industry Regulatory Authority (FINRA) is…
read moreHouston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico, sought damages of $17 million From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…
read moreMAY 2019 UPDATE–Gabriel Block found guilty of unethical and dishonest practices, fined $750,000 by NJ regulators and barred from securities industry by FINRA. See this for details. May 2016- Red Bank, NJ…
read moreAPRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…
read moreMARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…
read moreFebruary 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…
read moreJanuary 21, 2016 – Dallas Texas Former Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…
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