July 2016-Florham Park, NJ The FINRA records of James B. Moran , a stock broker currently employed by Capitol Securities Management , disclose a prior regulatory event, a pending customer dispute, 3 prior final customer disputes and a…
read moreJuly 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 moreJuly 2016-Chesapeake, VA The FINRA records of Antonio Costanzo , a former stock broker who was last employed by TItus Rockefeller , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…
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 moreJuly 2016 The FINRA records of Bahram Mirhashemi , a stock broker who formerly was employed by Accelerated Capital Group , disclose 2 prior final regulatory events, a currently pending regulatory event, 5 currently pending customer disputes, a prior final customer…
read moreJuly 2016- New York The FINRA records of Maximillian Santos , a stock broker who most recently worked for Blackbook Capital, LLC , disclose a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…
read moreJuly 2016- Troy, Michigan The FINRA records of David K. Rubenstein , a stock broker currently employed by L.M. Kohn & Company, disclose a prior final customer dispute, a prior final financial disclosure and 2 prior…
read moreJuly 2016- Troy, Michigan The FINRA records of Matthew T. Flynn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration, a prior final financial disclosure and a prior termination. The…
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