Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…
read moreAugust 2019 Update-Gregory Dean was barred from the securities industry for churning customer accounts. See this for more details. MAY 2018 UPDATE–See this for update on pending customer disputes. ORIGINAL…
read moreJuly 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. , a currently unlicensed stock broker who was last employed by Worden Capital Management , disclose a pending customer dispute and a prior finalized…
read moreRockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…
read moreUPDATE APRIL 2018-Donald Fowler charged with excessive trading and other securities violations by US Securities and Exchange Commission. See this for details. UPDATE August 2016–Fowler discloses regulatory investigation. On July 15, 2016,…
read moreAUGUST 2019 UPDATE-Gregory Dean barred from securities industry by regulators for churning customer accounts. See this for more details. UPDATE April 2018–Gregory Dean discloses additional customer disputes on his FINRA…
read moreMelville, NY UPDATE JULY 2017-In 11/2016 Matthew DiGregorio was permanently barred from the securities industry by FINRA for failing to pay an award as ordered by a FINRA arbitration panel…
read moreAPRIL 2017 UPDATE-In November 2016 a customer of Spartan Capital filed FINRA arbitration 16-3109 alleging damages of $27,376 for overconcentration, unauthorized use of margin and negligence. ORIGINAL POST -May 2016…
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