January 2020-Torrington, CT According to publicly available records. Lester William Burroughs (CRD#1413972), a former stockbroker who last worked for Lincoln Investment discloses 2 regulatory events, a criminal charge, a pending…
read moreSeptember 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) , a stockbroker currently registered with Spartan Capital Securities, disclose 1 prior customer dispute and 1 pending…
read moreNovember 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…
read moreMay 2017- Lakeland, FL According to publicly available records Nicholas S. Toadvine, (CRD#3260858) , a stockbroker who was previously registered with Investors Capital Corp. discloses 12 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJuly 2017- Syosset, New York The FINRA records of Steve J. Pabon, a stock broker who is currently employed by Joseph Stone Capital , disclose a currently pending customer dispute and a prior termination from…
read moreAugust 2016- New York The FINRA records of William K. Bradley, a stock broker who is currently employed by Meyers Associates, disclose a currently pending customer dispute and a prior termination from employment. The Financial Industry…
read moreAugust 2016-Melville, New York The FINRA records of Nicholas F. Milano , a stock broker who is not currently registered but was last employed by Aegis Capital Corp. , disclose a pending customer dispute and a prior FINRA award…
read moreMay 2016-Farmingdale, New York 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 and disputes…
read moreMAY 2018 UPDATE-LAURENCE TORRES BARRED FROM SECURITIES INDUSTRY-ACCUSED OF HIGH PRESSURE SALES. See this for details. ORIGINAL POST May 2016- Staten Island, NY The Financial Industry Regulatory Authority (FINRA) is the agency…
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