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 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 moreMay 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 moreMarch 2018 – New York The FINRA records of Joseph M. Thurnherr, a stock broker who is currently employed by Spartan Capital Securities disclose two prior regulatory matters, three pending customer disputes , three prior final…
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.…
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