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American Capital Partners investigation

Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry

Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry 150 150 Rex Securities Law

June 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…

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Timothy Longo-Former Trident Partners Broker-Subject of Customer Suits-Hauppauge, NY

Timothy Longo-Former Trident Partners Broker-Subject of Customer Suits-Hauppauge, NY 150 150 Rex Securities Law

May 2018-Hauppauge, 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…

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