November 2016-Arlington, Texas The FINRA records of Peyton N. Jackson, a stockbroker who is not currently registered and who was last employed by Alexander Capital, LP. disclose a recent regulatory matter that is final, 7…
read moreAugust 2016- New York The FINRA records of Anthony Mastroianni, a stock broker who is currently employed by Meyers Associates disclose 2 currently pending customer disputes, 4 prior customer disputes and a currently outstanding…
read moreSeptember 2019- Allentown, PA The FINRA records of Barry T. Eisenberg, a stock broker employed by Alexander Capital, L.P. disclose a regulatory event, a prior customer dispute and a prior financial event.…
read moreAugust 2016- Fort Salanga, New York The FINRA records of Francine A. Lanaia, a stock broker who is currently employed by Meyers Associates disclose a currently pending regulatory event, two prior regulatory events, a currently…
read moreMARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…
read moreNew York UPDATE MAY 2017-Nick E. Son discloses a recently filed customer arbitration. In 12/2016 a customer of Aegis Capital alleges damages in an unspecified amount relating to use of…
read moreNew York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…
read moreNew York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation. …
read moreMay 2016- New York 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 disputes…
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