Paul W. Murphy Investigation May 2022-Ocala, FL The FINRA records of Paul W. Murphy , a stock broker who is currently employed by Calton & Assoc. & Swan Financial Services, disclose 2 pending…
read moreTony Barouti Investigation Los Angeles, CA According to FINRA records, Tony Barouti , a stockbroker who currently works for EmersonEquity , discloses a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreJuly 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a former stockbroker who last worked for Westpark Capital, has been permanently barred from FINRA. The Financial…
read moreJuly 2016-Chicago, Illinois The FINRA records of George E. Johnson , a former stockbroker who was last employed by Newport Coast Securities , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…
read moreUPDATE MARCH 2017-Deerfield Beach, FL Public records disclose that on March 8, 2017, in an action filed by the U.S. Commodity Futures Trading Commission in the U.S. District Court for…
read moreUPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…
read moreJuly 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt , a former stock broker who was last employed by Newport Coast Securities , disclose a pending regulatory event, a prior customer dispute , a pending customer…
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 moreUPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…
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