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Stacy Mari Goldsmith Investigation February 2024– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes and…
read moreJanuary 2020 – Santa Rosa, CA The FINRA records of Michael Stevan Sims, a stockbroker who was last employed by Wedbush Securities, Inc., disclose 4 prior customer disputes. The Financial Industry Regulatory Authority…
read moreMAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…
read moreMay 2016-Boca Raton, FL 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 moreNovember 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and 9 prior customer disputes. The…
read moreJUNE 2017- Boca Raton, FL A review of FINRA records reveals that Michael B. Stern, is not currently licensed to act as a broker or as an investment adviser according to…
read moreFebruary 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…
read moreLast Updated: November 2023 Griffin Capital Griffin Capital was founded in 1995 and is headquartered in El Segundo, California. According to their website, “Griffin Capital is a pioneer in the…
read moreApril 2021- Boca Raton, FL The FINRA records of Adam C. Goodman , a registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. , disclose 2 pending customer…
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