May 2019– Rumson, NJ The FINRA records of Gabriel (Gabe) Block, a former stockbroker who was last employed by First Standard Financial Co., disclose 4 final regulatory events,3 currently pending…
read moreMARK KAPLAN INVESTIGATION UPDATE 3/9/2018 Boca Raton, FL-We are in process of preparing another arbitration claim against Vanderbilt Securities seeking damages for account churning and unsuitable investment recommendations by their…
read moreMARCH 2018 UPDATE–Mark Kaplan was permanently barred from the securities industry by FINRA and , without admitting or denying them, agreed to entry of the following findings: Kaplan exercised de…
read moreMarch 2018 The FINRA records of Gil Sharon , a stock broker who is employed by Maxim Group LLC disclose a pending customer dispute and 3 prior customer disputes. The Financial Industry Regulatory…
read moreMarch 2018- Charlotte, N. Carolina The FINRA records of Joseph L. Cotter , a stockbroker who is currently not registered and who was last employed by Petersen Investments disclose a recent regulatory matter resulting…
read moreMay 2020- San Antonio, TX According to publicly available records Barrett Oliver Schultz (aka Barrett Creed) , (CRD# 2741114) , a stockbroker who is employed by McNally Financial Services, discloses two recently settled…
read moreJuly 2021 UPDATE According to FINRA records, Marc A. Reda , a broker who is currently employed by Spartan Capital Securities, discloses a pending regulatory matter, a prior regulatory matter, a…
read moreMARCH 2019 UPDATE-The SEC entered a consent judgment against WIlliam Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts to generate commissions.…
read moreAugust 2017 – Hackensack, NJ According to publicly available records Dave Nicolas (CRD#5176405) , a former stockbroker registered with Garden State Securities, Inc. , disclose a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
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