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 moreMay 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
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 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 moreJuly 2016-New York The FINRA records of Michael S. Lavolpe , a currently unlicensed stockbroker who was most recently employed by Meyers Associates , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…
read moreJuly 2016 The FINRA records of Chad E. Thompson , a currently unlicensed stockbroker who was last employed by IFS Securities , disclose a final regulatory event and a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
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…
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