March 30, 2016 The U.S. Securities and Exchange Commission charged Daniel Rivera and his brother Matthew Rivera, and their company, with a $2.7 million Ponzi scheme targeting elderly and unsophisticated…
read moreNovember 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and 9 prior customer disputes. The…
read moreOctober 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…
read moreSeptember 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…
read morehttp://blog.rexsecuritieslaw.com/2018/03/23/raymond-j-pirrello-jr-churning-investigation/ UPDATE July 2016–Pirrello named in insider trading complaint filed by the Securities and Exchange commission. See this for details. UPDATE June 2016-Former Garden State Securities stock broker Raymond J. Pirrello…
read moreUPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…
read moreMarch 23, 2016, NYC According to his official FINRA records, James N. Forster was discharged from Joseph Gunnar & Co. in December, 2015, for “wrongful taking of personal items”. Forster…
read moreMarch 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…
read moreJames C. Hopkins, a Boca Raton, FL, stockbroker registered with Dawson James Securities, is named in a customer dispute alleging that he made misrepresentations in connection with an investment banking offering…
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