Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets, discloses a final regulatory matter resulting…
read moreJuly 2016-San Diego, CA The FINRA records of Steven P. Capozza , a stock broker employed by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien. The Financial Industry Regulatory Authority (FINRA) is…
read moreAugust 5, 2015- Boynton Beach, Florida Charles Posner , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…
read moreJune 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…
read moreFebruary 23, 2015 The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against Ascendiant Capital Markets, LLC alleging that they failed to satisfy important supervisory, disclosure and…
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