May 2019 – New York According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes. The Financial Industry Regulatory…
read moreApril 2019-New York The FINRA records of Nicholas Parisi , a stock broker who is currently unlicensed and who was most recently employed by Aegis Capital Corp. , disclose a settled customer dispute and 2 outstanding…
read moreApril 2019-Garden City, New York The FINRA records of James B. Schwartz , a former stock broker who worked for Aegis Capital from 8/2013-6/2016 and was last employed by Joseph Gunnar & Co. , disclose that…
read moreJuly 2016-Melville, New York The FINRA records of Steven R. Luftschein , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute and 11 prior final customer disputes. The Financial Industry Regulatory…
read moreJuly 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis , a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose 2 prior regulatory events, 4 prior finalized customer disputes and 2…
read moreNew York According to FINRA records, Johnathan W. McHale , a stock broker formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreUPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more. August18, 2015, Christopher Frederic Veale ,…
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