March 2017- Westport, CT According to publicly available records Source Capital Group, (CRD# 36719) , a broker dealer with headquarters in Westport, CT, discloses 8 prior final regulatory events, one regulatory event that…
read moreDecember 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) , a stockbroker who is currently under suspension who was last employed by Source Capital Group, disclose a recent regulatory…
read moreAccording to FINRA records, stockbroker Vincent Louis Pereira currently is employed by Alexander Capital, where he has been registered since 2/2015. His previous registrations include: Blackbook Capital …
read moreJanuary 8, 2016- Rowayton, CT James J. Nixon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Bridge…
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