FEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…
read moreJune 2016-Grapevine, Texas According to FINRA records, Richard M. Ohlhaber , a stockbroker who most recently was employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses 3 prior final regulatory events…
read moreBoca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records, Sean W.…
read moreRed Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…
read moreLos Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…
read moreThe 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 as well…
read moreOrlando, Florida According to FINRA records, Felix Alberto Bartolomei , a stockbroker employed by Cuso Financial Services , discloses 3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreWe are evaluating potential investor cases for persons who may have suffered losses on Minerva-Rockdale E&P IV. The Minerva-Rockdale E&P IV, LLC, private placement offering in March 2013, authorized the issuer Euro…
read moreInvestors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their losses through arbitration. On May 16, 2016,…
read moreEnglewood Cliffs, New Jersey According to FINRA records, Lucas D. Lichtman, a stockbroker who was formerly employed by Caldwell International Securities, discloses a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…
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