Charlotte, North Carolina According to FINRA records, Michael P. Lessard, Jr., a stockbroker who currently works for Southeast Investments, discloses a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…
read moreEast Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…
read moreStaten Island, New York According to FINRA records, Frank D. Marinelli, a stockbroker who currently works for Southeast Investments, discloses two pending customer disputes, a termination, two pending judgment/liens and two final customer…
read moreMAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…
read morePlano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below, was settled for…
read moreHouston, Texas The US Attorney’s Office for the Southern District of Texas announced the arrest of Allan George Cooper, 75, of Houston, Texas. Cooper is charged with wire fraud and…
read moreNew York According to FINRA records, Maria Fan, a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm, discloses a currently pending customer dispute and 2 prior…
read moreMelville, New York SEE THIS FOR AUGUST 2018 UPDATE-Sullivan now employed by SW Financial and is subject of $500K customer suit. Original Post June 2016 According to FINRA records, Stephen J.…
read moreBoerne, Texas MAY 2017 UPDATE-In October 2016, James Collard was suspended by FINRA for 10 days and ordered to pay fines and restitution of about $37,000. Collard has been registered…
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