Paul W. Murphy Investigation May 2022-Ocala, FL The FINRA records of Paul W. Murphy , a stock broker who is currently employed by Calton & Assoc. & Swan Financial Services, disclose 2 pending…
read moreTony Barouti Investigation Los Angeles, CA According to FINRA records, Tony Barouti , a stockbroker who currently works for EmersonEquity , discloses a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreJuly 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a former stockbroker who last worked for Westpark Capital, has been permanently barred from FINRA. The Financial…
read moreJuly 2016-Chicago, Illinois The FINRA records of George E. Johnson , a former stockbroker who was last employed by Newport Coast Securities , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…
read moreUPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…
read moreJuly 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt , a former stock broker who was last employed by Newport Coast Securities , disclose a pending regulatory event, a prior customer dispute , a pending customer…
read moreJuly 2016-Chesapeake, VA The FINRA records of Antonio Costanzo , a former stock broker who was last employed by TItus Rockefeller , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…
read moreUPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…
read moreAndre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning
July 2016-Dix Hills, NY The FINRA records of Andre V. Labarbera , a stock broker currently employed by Titus Rockefeller , disclose a pending regulatory event and 5 prior customer disputes and a currently pending customer dispute. The…
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