June 2020- New York According to publicly available records Baris Dincer (CRD#5637472) , a stockbroker who currently is not currently registered and who was previously employed by Planner Securities, J.H. Darbie &…
read moreNew York UPDATE JUNE 2017–Michael Guilfoyle is not currently registered He left employment at Four Points Capital Partners in 3/2017. ORIGINAL POST 2/2017 Publicly available records of Michael N. Guilfoyle, (CRD#…
read moreJanuary 2017- New York According to publicly available records Robert F. Stefanelli , (CRD# 2566917) , a stockbroker who is currently employed by Alexander Capital, disclose a currently pending customer dispute. The Financial Industry…
read moreJanuary 2017- New York According to publicly available records Jason H. Klabal , (CRD# 2910714) , a stockbroker who is currently employed by Alexander Capital, disclose 2 currently pending customer disputes. The Financial Industry…
read moreJanuary 2017- Staten Island, New York According to publicly available records Jeanpaul Charles Skovronck , (CRD# 2744738) , a stockbroker who is currently employed by Alexander Capital, disclose a currently pending customer dispute.…
read moreNovember 2016-Arlington, Texas The FINRA records of Peyton N. Jackson, a stockbroker who is not currently registered and who was last employed by Alexander Capital, LP. disclose a recent regulatory matter that is final, 7…
read moreUPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …
read moreMARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…
read moreAugust 2016-New York The FINRA records of Hank M. Werner , a currently unlicensed stock broker who was most recently employed by Legend Securities Inc. , discloses a pending FINRA investigation in which he was charged with…
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