July 2016-New York The FINRA records of Michael S. Lavolpe , a currently unlicensed stockbroker who was most recently employed by Meyers Associates , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…
read moreJuly 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn , a currently unlicensed stockbroker who was most recently employed by Hornor, Townsend & Kent , disclose a pending regulatory event, 2 prior regulatory events and…
read moreUPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…
read moreJuly 2016-Chicago, Illinois The FINRA records of George E. Johnson , a former stockbroker who was last employed by Newport Coast Securities , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…
read moreJuly 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt , a former stock broker who was last employed by Newport Coast Securities , disclose a pending regulatory event, a prior customer dispute , a pending customer…
read moreUPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…
read moreAndre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning
July 2016-Dix Hills, NY The FINRA records of Andre V. Labarbera , a stock broker currently employed by Titus Rockefeller , disclose a pending regulatory event and 5 prior customer disputes and a currently pending customer dispute. The…
read moreJuly 2016-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…
read moreJuly 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III , a former stock broker employed by Newport Coast Securities , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…
read more