July 2016-Boca Raton, Florida The FINRA records of Paul A. Falcon , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…
read moreTampa, Florida JULY 2017 UPDATE– Kenneth L. Jones refused to appear before FINRA for on the record testimony in connection with an investigation of the circumstances related to his termination…
read moreNew York UPDATE MAY 2017-Nick E. Son discloses a recently filed customer arbitration. In 12/2016 a customer of Aegis Capital alleges damages in an unspecified amount relating to use of…
read moreJuly 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. , a currently unlicensed stock broker who was last employed by Worden Capital Management , disclose a pending customer dispute and a prior finalized…
read moreRockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…
read moreJuly 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis , a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose 2 prior regulatory events, 4 prior finalized customer disputes and 2…
read moreJuly 2016-Pell City, Alabama The FINRA records of Joseph C. Alexander , a stock broker who is currently employed by Sterne Agee Financial Services, disclose a currently pending customer dispute and a prior finalized customer…
read moreJuly 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey , a stock broker who is currently employed by Sterne Agee Financial Services, disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreMarch 2019-Cuyahoga County, Ohio The FINRA records of William Richard Pintaric , (CRD 363876) a stock broker who is currently not registered and who previously worked for WRP Investments , disclose 2 prior regulatory events, a currently…
read moreJuly 2016-New York The FINRA records of Michael S. Lavolpe , a currently unlicensed stockbroker who was most recently employed by Meyers Associates , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…
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