Providence, Rhode Island A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered brokerage firm Barrett & Company and two of its brokers, Wilson Gordon Saville and Charles Edward White, to…
read moreRed Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…
read moreDawsonville, Georgia According to FINRA records, Timothy C. Moody , a stock broker employed by Moody Capital Solutions , discloses a recent regulatory action. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…
read moreDawsonville, Georgia According to FINRA records, Robert L. Rosenstein , a stock broker formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012 and 5 pending judgment/liens. He is…
read moreNew York According to FINRA records, Johnathan W. McHale , a stock broker formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreLos Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…
read moreOrlando, Florida According to FINRA records, Felix Alberto Bartolomei , a stockbroker employed by Cuso Financial Services , discloses 3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
read morePort Chester, New York According to FINRA records, Douglas C. Robb, Jr. , a stockbroker who was recently employed by Cuso Financial Services , discloses a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
read moreEnglewood Cliffs, New Jersey According to FINRA records, Richard Lim, a stockbroker who was formerly employed by Caldwell International Securities, discloses a pending regulatory investigation and 3 presently outstanding judgement/liens . The Financial Industry Regulatory…
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