August 2016- Manlius, NY The FINRA records of George P. Koulouris , a stock broker who is currently employed by KCD Financial, Inc. disclose a prior regulatory event, 6 prior customer disputes, one currently pending customer dispute…
read moreAugust 2016-Winter Park, Florida The FINRA records of Jamie D. Pope , a stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…
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 moreMelville, New York UPDATE JUNE 2018-In 1/2018 a customer of Aegis Capital Corp. from Rhode Island filed FINRA arbitration 17-2867 alleging that Sheppard made unsuitable recommendations, traded the account excessively…
read moreJuly 2016-San Diego, CA The FINRA records of Steven P. Capozza , a stock broker employed by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien. The Financial Industry Regulatory Authority (FINRA) is…
read moreJuly 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis , a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose 2 prior regulatory events, 4 prior finalized customer disputes and 2…
read moreJuly 2016-New York The FINRA records of Sperry R. Younger , a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose a currently pending regulatory event, a currently pending customer dispute, 3 prior…
read moreJuly 2016-New York The FINRA records of Further Lane Securities, L.P. , disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…
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