February 2018 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 moreMarch 2018 UPDATE–See this for update. Cotter suspended and fined for excessive trading. UPDATE JULY 2016-Customer of former NEXT Financial Group broker Joseph L. Cotter brings complaint alleging $625,000 damages.…
read moreSeptember 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…
read moreMARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…
read moreMarch 16, 2016-Uniondale, New York Beyn’s Excessive Trading Generated Commissions of $1.7M The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Craig Scott Capital broker Edward Beyn alleging…
read moreOctober 14, 2015- Fort Lauderdale, Florida Denny P. Darmodihardjo , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from September 2009-July…
read moreUPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more. September 15, 2015- Boca Raton, FL Aldo Comuzzi , entered into a Letter of Acceptance Waiver…
read moreMay 5, 2015 Cape Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…
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