Austin Dutton Investigation November 2021–Doylestown, PA The FINRA records of Austin R. Dutton, Jr. , a stock broker who was previously employed by Newbridge Securities and who is currently employed by American…
read moreJoseph A. Lianzo Investigation November 2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered and who was last employed by SW Financial…
read moreApril 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…
read moreFebruary 2018- Boca Raton, FL Felipe Arrieta, a stockbroker who is currently employed by Dakota Securities International and was formerly employed by Revere Securities, discloses 3 prior final and 1 pending customer disputes…
read moreSeptember 2017 -Boca Raton, FL According to publicly available records Gaetano “Guy” Magarelli (CRD#2227996) , a stockbroker who is registered with Newbridge Securities Corporation , disclose 2 pending customer disputes , 3 prior customer disputes…
read moreApril 2017-Arlington, Texas The FINRA records of Thomas P. Smith , a stockbroker who is currently registered with Center Street Securities disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreDecember 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) , a stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…
read moreBoca Raton, FL July 2017 UPDATE– Gerald Cocuzzo was sentenced to 18 months in prison after pleading guilty to securities fraud for his participation in the manipulation of Forcefield Energy,…
read moreMay 2016-Boca Raton, FL UPDATE NOVEMBER 2016-Gerald Cocuzzo pleads guilty to securities fraud. Link to US Attorneys office press release. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
read more