Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records, Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…
read moreWilliam L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records, William L. Baumner, IV , a previously registered stockbroker who last worked for Tradespot Markets and Buckman, Buckman & Reid discloses a…
read moreShadi Barakat Investigation August 2022 -New York The FINRA records of Shadi Taysir Barakat, a stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events, a currently pending customer dispute, 3…
read moreMatthew A. Siliato Investigation March 2022 -New York The FINRA records of Matthew Angelo Siliato, a former stock broker who was last employed by Spartan Capital Securities disclose 3 regulatory events, a currently pending…
read moreJoseph A. Lianzo Investigation November 2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered and who was last employed by SW Financial…
read moreDaniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill, a former stockbroker registered with Aegis Capital Corporation, disclose a…
read moreNoel Vincent Investigation-June 2021–Houston, Texas According to publicly available records Noel Ray Vincent, (CRD# 1370987) , a stockbroker who is not currently registered , who formerly worked for Madison Avenue Securities and…
read morePeter Ianace Investigation-Plano, TX The FINRA records of Peter Ianace , a former financial advisor who was last employed by Wells Fargo Clearing Services, disclose a regulatory event and three customer…
read moreSeptember 2021- Staten Island, NY The FINRA records of Christopher G. Orlando , a former financial advisor who was last employed by Spartan Capital Securities disclose a regulatory event and two…
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