August 2016-Tampa, Florida The FINRA records of Frank J. McPartland , a stock broker who is currently employed by NBC Securities, Inc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreAugust 2016-Westbury, New York The FINRA records of Kristopher R. Tung , a stock broker who is currently employed by Axiom Capital Management , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreAugust 2016-New York The FINRA records of Hank M. Werner , a currently unlicensed stock broker who was most recently employed by Legend Securities Inc. , discloses a pending FINRA investigation in which he was charged with…
read moreAugust 2016-New York The FINRA records of Samuel F. Lek , a stock broker who is currently employed by Lek Securities Corporation , disclose 6 pending FINRA investigations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreAugust 2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro , a stock broker who is currently employed by The Investment Center , disclose a pending customer dispute and a prior final customer dispute. The…
read moreAugust 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…
read moreAugust 2016-Melville, New York The FINRA records of Rick J. Sande , a stock broker who is currently employed by Aegis Capital Corp. , disclose a pending customer dispute and a prior final customer dispute. The Financial…
read moreNew York MAY 2018 UPDATE–The FINRA records of Joshua Feldman disclose settlement of FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…
read moreApril 2019-New York The FINRA records of Nicholas Parisi , a stock broker who is currently unlicensed and who was most recently employed by Aegis Capital Corp. , disclose a settled customer dispute and 2 outstanding…
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