Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…
read morePamela Espinosa Investigation March 2023- Albuquerque, NM According to publicly available records, Pamela Sue Espinosa a Kestra Investment Services broker discloses a $1M pending customer dispute. The Financial Industry Regulatory…
read moreJohn Zaffarano Investigation March 2023- Boca Raton, FL According to publicly available records, John Zaffarano an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…
read moreKennister Daley Investigation September 2022- Boynton Beach, FL According to publicly available records, Kennister U. Daley, an Allstate Financial Services broker discloses a currently pending customer dispute. The Financial Industry…
read moreSean Sullivan Investigation September 2022- Melville, NY According to publicly available records, Sean T. Sullivan, a former Aegis Capital broker discloses customer disputes and a termination from employment. The Financial Industry…
read moreYES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…
read moreHarold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…
read moreJ.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…
read moreMark Payne Investigation May 2022- Roseville, CA According to publicly available records, Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…
read more