August 2016- New York The FINRA records of William K. Bradley, a stock broker who is currently employed by Meyers Associates, disclose a currently pending customer dispute and a prior termination from employment. The Financial Industry…
read moreNew York MAY 2017 UPDATE– Taddonio’s FINRA record discloses a pending regulatory event, 2 prior final regulatory events, 3 prior final customer disputes, a currently pending financial event and 5…
read moreAugust 2016- New York The FINRA records of Brent Porges, a former stock broker who is currently not licensed disclose a currently pending regulatory matter, a prior regulatory matter, 4 prior customer disputes, a currently…
read moreAugust 11, 2016-San Angelo, Texas The Department of Justice announced that Stanley J. Fortenberry, 50, of San Angelo, Texas, has been charged with 3 counts of mail fraud, 2 counts…
read moreMelbourne, Florida The FINRA records of Jeffrey Brian Grove , a former Charles Schwab stock broker who was permanently barred from acting as a broker or otherwise associating with firms that sell securities disclose a…
read moreOctober 2019- Coram, NY The FINRA records of John J. Santariello , a stock broker who is not currently registered with any broker dealer and who last worked for Arive Capital Markets, disclose …
read moreAugust 2016- Ronkonkoma, NY The FINRA records of Joseph F. Comiskey, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose a currently pending customer dispute, 2 prior customer disputes,…
read moreJune 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima , a former stock broker who was last employed by K. C. Ward Financial disclose 3 prior regulatory events, 5 prior customer disputes, 2…
read moreAugust 2016- Ronkonkoma, NY The FINRA records of Thomas J. Briguccia, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose 3 currently pending customer disputes, a6 prior customer disputes…
read more