August 2016- Ronkonkoma, NY The FINRA records of Joseph F. Comiskey, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose a currently pending customer dispute, 2 prior customer disputes,…
read moreJune 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima , a former stock broker who was last employed by K. C. Ward Financial disclose 3 prior regulatory events, 5 prior customer disputes, 2…
read moreAugust 2016- Ronkonkoma, NY The FINRA records of Thomas J. Briguccia, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose 3 currently pending customer disputes, a6 prior customer disputes…
read moreAugust 2016- Massapequa, NY The FINRA records of Marcello Lattuca , a stock broker who is currently employed by NBC Securities disclose a currently pending customer dispute and a prior customer dispute. The Financial Industry Regulatory Authority…
read moreAugust 2016- Yarmouth, MA The FINRA records of Dennis H. Cambal , a stock broker who is currently employed by NBC Securities disclose a prior regulatory event and 9 prior customer disputes. The Financial Industry Regulatory Authority…
read moreAugust 2016- Green Bay, WI The FINRA records of Henry C. Prange, IV, , a stock broker who is currently employed by KCD Financial, Inc. disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreAugust 2016- Oak Lawn, IL The FINRA records of Randall A. Heller , a stock broker who is currently employed by KCD Financial, Inc. disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreAugust 2016- Manlius, NY The FINRA records of George P. Koulouris , a stock broker who is currently employed by KCD Financial, Inc. disclose a prior regulatory event, 6 prior customer disputes, one currently pending customer dispute…
read moreAugust 2016- Lincoln, NE The FINRA records of Larry D. Freie , a stock broker who is currently employed by Ameritas Investment Corp. disclose a prior customer dispute and one currently pending customer dispute. The Financial Industry…
read more