September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) , a currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…
read moreFebruary 2019- Garden City, NY According to publicly available records Jeffrey L. Offen , (CRD# 2893980) , a stockbroker who is not currently employed as a stockbroker and who was last employed by Craft Capital…
read moreJuly 2016-Melville, New York The FINRA records of Bruce A. Stark , a stock broker currently employed by Aegis Capital Corp. , disclose 2 pending customer disputes, a prior final customer dispute and 1 currently outstanding judgment/liens.…
read moreUPDATE APRIL 2017 In March 2017, Naveed A. Khan was permanently barred by the SEC. ORIGINAL POST -May 2016-Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
read moreOctober 2017-Wantagh, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreMay 2016-Great Neck, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…
read moreSee this for February 2019 update. Jeffrey Lance Offen left Salomon Whitney Financial in 5/2016 and worked for Craft Capital Management from 10/2016-9/2017. He is not currently registered as a…
read moreJune 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…
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