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Unauthorized Trading

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX 150 150 ER

August 2021- Spring, TX According to publicly available records,  Marisa K. Quintero a currently unregistered financial advisor who was last registered with J.P. Morgan, discloses a prior regulatory event and…

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Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Rex Securities Law

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY 150 150 ER

August 2021- New York, NY According to publicly available records,  Joseph Ambrosole a currently unregistered financial advisor who last worked for Joseph Stone Capital, discloses 4 prior regulatory events a…

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Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA

Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA 150 150 ER

August 2021- Carnegie, PA According to publicly available records,  Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…

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Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY

Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY 150 150 Rex Securities Law

August 2021, New York, NY According to publicly available records Joseph Omar  “Joey”Gebron  (CRD#2764264) ,  a  stockbroker who is currently registered  with SW Financial  ,  discloses 7 prior customer disputes, one…

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Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA

Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA 150 150 ER

August 2021- Bolton, MA According to publicly available records,  Brett Briggs a broker currently employed by Western International Securities, Inc. discloses 5 regulatory events and 5 prior customer disputes. The Financial…

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Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA

Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA 150 150 ER

July 2021- Vista, CA According to publicly available records of Kevin David Barton   (CRD#2542056) ,  a broker employed with Crown Capital Securities,  discloses  a regulatory event and 11 tax liens. The…

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Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY

Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY 150 150 ER

July 2021- Syracuse, NY According to publicly available records,  Paul Spero a broker with Cadaret, Grant & Co. discloses a regulatory event. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ

Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ 150 150 ER

July 2021- Hackensack , NJ According to publicly available records,  Scott Fergang,  a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…

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