February 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…
read moreJuly 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…
read moreJUNE 2017 The U S Securities and Exchange Commission charged James M. Farinella , Integrated Capital Partners (ICP) , Anthony Amado, Equities Awareness Group LLC (EAG) and Carlos Palomino with…
read moreMay 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreAbraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA
May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…
read moreDecember 2016-Davie, FL The FINRA records of Mark B. Beloyan, a stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…
read moreNew York MAY 2018 UPDATE–The FINRA records of Joshua Feldman disclose settlement of FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…
read moreJuly 2016-Miami, Florida The Department of Justice announced that stock promoters Daniel McKelvey, 49, of Foster City, CA and Jeffrey L. Lamson, 51, of El Dorado Hills, CA, have been charged…
read moreJuly 2016-New York The FINRA records of Michael S. Lavolpe , a currently unlicensed stockbroker who was most recently employed by Meyers Associates , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…
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