October 2019- Coram, NY The FINRA records of John J. Santariello , a stock broker who is not currently registered with any broker dealer and who last worked for Arive Capital Markets, disclose …
read moreAugust 2016- Ronkonkoma, NY The FINRA records of Joseph F. Comiskey, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose a currently pending customer dispute, 2 prior customer disputes,…
read moreJune 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…
read moreAugust 2016- Ronkonkoma, NY The FINRA records of Thomas J. Briguccia, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose 3 currently pending customer disputes, a6 prior customer disputes…
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