August 2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel , a stock broker who is currently employed by Oppenheimer & Co. , disclose five prior customer disputes and and one financial event. The Financial Industry Regulatory…
read moreRed Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…
read moreLos Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…
read moreUPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…
read moreMarch 2016 The US Attorney’s Office for District of South Carolina announced that Claus C. Foerster, age 55, of Spartanburg, South Carolina was charged in a 5 count indictment with…
read moreBoston, MA In December 2015, a FINRA arbitration panel awarded a former customer of Morgan Stanley Smith Barney Broker Justin Amaral over $1 million, which included over $500,000 in punitive…
read moreSee this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer. APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages…
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