October 2019-Farmington, NY The FINRA records of Praxedes Russi , a financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial disclose 2…
read moreJune 2019 – Melville, NY According to publicly available records, Ahmad Wares, a financial advisor previously with Laidlaw & Company discloses 1 pending and 9 prior customer disputes, and a…
read moreOctober 2016-Farmingdale, NY The FINRA records of Thomas J. Tedeschi, a stockbroker who is currently employed by Salomon Whitney Financial disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…
read moreJuly 2016-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…
read moreSee this for February 2019 update. Jeffrey Lance Offen left Salomon Whitney Financial in 5/2016 and worked for Craft Capital Management from 10/2016-9/2017. He is not currently registered as a…
read moreFarmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…
read moreAPRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…
read moreApril 2018 UPDATE-New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…
read moreMelville, NY MAY 2017 UPDATE-FINRA records report that Richard J. Coleman left his employment at Salomon Whitney Financial 3/2017 and as of May 11 he is not currently registered. ORIGINAL…
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