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Unauthorized Trading

James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL

James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL 150 150 Rex Securities Law

Coral Gables, Florida According to FINRA records, James P. Scullin ,  a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…

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Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX

Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX 150 150 ER

July 2021- Dallas, TX According to publicly available records,  Constantinos G. Maniatis, a financial advisor previously with Morgan Stanley, discloses a regulatory event and a termination from employment. The Financial…

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Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL

Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL 150 150 ER

July 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr.  (CRD#500214), a  former stockbroker who last worked for B.B. Graham & Company, Inc.,  has been permanently barred…

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Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes

Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes 150 150 Rex Securities Law

July 2021-NYC Brokerage firm Joseph Gunnar & Co. was founded in 1997 and is headquartered in New York City. According to their website they have 250 financial consultants with eight…

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Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA

Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA 150 150 Rex Securities Law

August 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith  financial advisor Charles Kenahan,  discloses 2 regulatory events, 4 final customer disputes, one pending…

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Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL

Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL 150 150 Rex Securities Law

April 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…

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Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL 150 150 Rex Securities Law

October 2020- Hollywood, FL According to publicly available records.  Stefan Anton Pastor, (CRD#5141819), a  former stockbroker who last worked for Raymond James Financial Services, Inc.,  discloses a regulatory event, 2…

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