July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration, a prior final financial disclosure and a prior termination. The…
read moreJanuary 2020- Dunmore, PA The FINRA records of Charles J. Ehnot , a stock broker employed by L.M. Kohn & Company, disclose 30 prior customer disputes and two outstanding IRS tax liens. See…
read moreJuly 2016- Troy, Michigan The FINRA records of Douglas C. Osborn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreAPRIL 2017 UPDATE–Daniel L. Silverstein , a broker with Primex in Miami, FL, discloses that in currently pending FINRA Case 16-02252 a customer of Primex alleges damages of $431,000 for…
read moreSan Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…
read moreJuly 5, 2016-New York A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Garden State Securities, based in Red Bank, New Jersey, to pay an elderly customer over $142,000 to…
read moreJericho, New York According to FINRA records, Leigh M. Garber , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter and a prior final regulatory matter. The Financial Industry Regulatory Authority…
read moreJericho, New York According to FINRA records, Kenley Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, a final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…
read moreJericho, New York According to FINRA records, Philip Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…
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