May 2017-New York
The FINRA records of Michael J. Romanelli , a stockbroker who is currently registered with Stormharbour Securities disclose a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In May 2015 Romanelli was discharged from Nomura Securities. Romanelli makes the following statement on his FINRA record in connection therewith: “I was told by Nomura that I was let go in connection with certain investigations. Upon my request for further information, none was provided by Nomura. “
Romanelli has been employed by Stormharbour Securities since 1/2017. He was with CV Brokerage from 8/2016-2/2017 and with Nomura Securities from 8/2009-6/2015.
If you have questions about an account handled by Michael J. Romanelli , contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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