August 2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro , a stock broker who is currently employed by The Investment Center , disclose a pending customer dispute and a prior final customer dispute. The…
read moreAugust 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…
read moreAugust 2016-Melville, New York The FINRA records of Rick J. Sande , a stock broker who is currently employed by Aegis Capital Corp. , disclose a pending customer dispute and a prior final customer dispute. The Financial…
read moreNew York MAY 2018 UPDATE–The FINRA records of Joshua Feldman disclose settlement of FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…
read moreNew York UPDATE MAY 2017-FINRA Case 13-3289 alleging churning, unsuitable use of margin and poor recommendations was settled for $390,000. ORIGINAL POST August 2016– The FINRA records of Joe M. Pazmino , a stock…
read moreAugust 1, 2016-Lubbock, Texas Lubbock National Bank announces a free seminar on financial exploitation of the elderly to be held on August 3, 2016, at 2:30 PM , at Raider…
read moreJuly 2016-Brooklyn, NY The FINRA records of Andrew B. Kramer , a stock broker who is currently unlicensed and was most recently employed by Capitol Securities Management & Kramer Capital Management , disclose a prior regulatory event, 2…
read moreJuly 2016-Florham Park, NJ The FINRA records of James B. Moran , a stock broker currently employed by Capitol Securities Management , disclose a prior regulatory event, a pending customer dispute, 3 prior final customer disputes and a…
read moreJuly 2016-Melville , New York The FINRA records of Scott N. Hananel , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute and 2 prior final customer disputes. The Financial Industry Regulatory…
read moreApril 2019-Garden City, New York The FINRA records of James B. Schwartz , a former stock broker who worked for Aegis Capital from 8/2013-6/2016 and was last employed by Joseph Gunnar & Co. , disclose that…
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