Have Questions? Call Us: (561) 391-1900
July 2016-Dix Hills, NY The FINRA records of Andre V. Labarbera , a stock broker currently employed by Titus Rockefeller , disclose a pending regulatory event and 5 prior customer disputes and a currently pending customer dispute. The…
read moreJuly 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III , a former stock broker employed by Newport Coast Securities , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…
read moreJuly 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz , a former stock broker employed by Securities America , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…
read moreFebruary 2020 The FINRA records of Aaron Paul Brodt , a financial advisor who was last registered with Peachtree Securities , disclose a pending customer dispute and 4 prior customer disputes. The Financial Industry…
read moreJuly 2016 The FINRA records of Bahram Mirhashemi , a stock broker who formerly was employed by Accelerated Capital Group , disclose 2 prior final regulatory events, a currently pending regulatory event, 5 currently pending customer disputes, a prior final customer…
read moreUPDATE SEPTEMBER 2017–Jeffrey A. Smith, without admitting or denying the findings, consented to sanctions of a $5,000 fine and a three month suspension from 9/5/2017-12/4/2017, to resolve allegations that he…
read moreJuly 2016- The FINRA records of Janet Ross , Chief Compliance Officer of Accelerated Capital Group , disclose 3 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.…
read moreJuly 2016- Boynton Beach, Florida The FINRA records of Pamela Posey , a stock broker who formerly worked for Securities America, disclose a pending financial event and 3 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the…
read moreJuly 2016- Tyler, Texas The FINRA records of Ronnie W. Shaffer , a stock broker who works for OneAmerica Securities, disclose 7 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…
read moreMARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr. has 9 prior final customer disputes and…
read moreYou cannot copy content of this page