June 2019, Red Bank, NJ According to publicly available records Andre Pierre Davis (CRD#1417097) , a stockbroker who is not currently registered and who was last registered with First Standard Financial…
read moreMay 2019 – New York According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes. The Financial Industry Regulatory…
read moreApril 2019 – Little Silver, NJ/Boca Raton, FL According to publicly available records Buckman, Buckman & Reid and Harry John (“Chip”) Buckman , were recently sanctioned by FINRA for failing to supervise…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreSeptember 2018- New York Gregory Don Patterson , a stockbroker who is currently registered with Four Points Capital Partners, a Texas LLC, (Four Points) discloses a prior customer dispute, a currently pending regulatory…
read moreJanuary 2019-Garden City, NY The FINRA records of Michael R. Rosalia , a financial advisor employed by Worden Capital Management disclose a pending customer dispute, 6 prior customer disputes, a bankruptcy filing and 9 outstanding…
read moreMay 2018- Staten Island, NY According to FINRA records, former stockbroker Laurence M. Torres discloses 2 pending and 4 prior customer disputes. Torres, who worked for First Standard Financial Company and Alexander Capital,…
read moreJanuary 2020-Westport, CT The FINRA records of Daniel H. Morris, a stockbroker who was formerly employed by Oppenheimer and Co. disclose prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreAugust 2019-Garden City, NY The FINRA records of Gregory T. Dean , a former broker who was last employed by Worden Capital Management LLC disclose 3 prior regulatory matters, a prior civil matter,…
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