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 moreJuly 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III , a former stock broker employed by Newport Coast Securities , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…
read moreBirmingham, Michigan According to FINRA records, Bassam A. Salem, a stockbroker who currently works for Wunderlich Securities , discloses a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreRed Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…
read moreJanuary 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…
read moreOctober 15, 2015 Qui Hong Lam , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she falsified documents related to…
read moreAugust 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreJuly 13, 2015-Scottsdale, AZ John Anthony Waszolek entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…
read moreJune 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…
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