UPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more. September 15, 2015- Boca Raton, FL Aldo Comuzzi , entered into a Letter of Acceptance Waiver…
read moreSeptember 21, 2015- Cape Coral, Florida Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April…
read moreOctober 1, 2015- Decatur, Illinois Investment Planners, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between April 2013…
read moreSeptember 29, 2015- Katy, Texas Matthew T. Schomburg , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 11/2010-8/2013 he…
read moreSeptember 24, 2015- Plano, Texas John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…
read moreAugust 2015- Pompano Beach, Florida Walter Paul Priebe , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to notify his…
read moreAugust 5, 2015- Boynton Beach, Florida Charles Posner , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…
read moreAugust 6, 2015- Thousand Oaks, CA Gehrin Michael Ortiz , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose…
read moreAugust 18, 2015- Henderson, Nevada Glenn Allen Moffitt , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…
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