Daniel Lerner Energy 11, Energy Resources 12, Spirit of America Energy Fund Investigation September 2022-Lawrenceville, NJ The FINRA records of Daniel Lerner, son of David Lerner and a broker with…
read moreYES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…
read moreYousuf Saljooki Investigation February 2022-Melville, NY The FINRA records of Yousuf Saljooki, a broker who formerly worked for SW Financial (Salomon Whitney Financial) and Worden Capital Management, disclose 7 final regulatory…
read moreApril 2021- Boca Raton, FL The FINRA records of Adam C. Goodman , a registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. , disclose 2 pending customer…
read moreJuly 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…
read moreMARCH 2019 UPDATE-The SEC entered a consent judgment against WIlliam Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts to generate commissions.…
read moreJuly 2017- Syosset, New York The FINRA records of Steve J. Pabon, a stock broker who is currently employed by Joseph Stone Capital , disclose a currently pending customer dispute and a prior termination from…
read moreNew York UPDATE MAY 2017-Nick E. Son discloses a recently filed customer arbitration. In 12/2016 a customer of Aegis Capital alleges damages in an unspecified amount relating to use of…
read moreOctober 2019- Farmingdale, New York The FINRA records of Michael L. Oromaner disclose 4 regulatory matters that have been finalized, 11 final customer disputes, 2 pending customer disputes and 2 outstanding…
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