Andrew Edenbaum Investigation July 2022-Boca Raton, FL According to publicly available records Andrew Edenbaum a currently unregistered broker who last worked for Alliance Global Partners, discloses 2 final regulatory matters…
read moreJoseph Alhadeff Investigation August 2021- New York, NY According to publicly available records, Joseph V. Alhadeff a broker previously employed with National Securities Corporation discloses a prior regulatory event and a…
read moreAugust 2021-New York, NY According to publicly available records Jason Andrew Wilk , a former stockbroker who is not currently registered and who was last employed by Worden Capital Management ,…
read moreOctober 2019- NYC, NY According to publicly available records Albert Foronda. (CRD#5737620 , a stockbroker currently registered with Spartan Capital Securities, disclose a prior customer dispute and 2 pending customer dispute.…
read moreOctober 2018- Melville, NY According to publicly available records Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp. disclose a prior customer dispute and 2 pending customer disputes..…
read moreMarch 2018 – New York The FINRA records of Joseph M. Thurnherr, a stock broker who is currently employed by Spartan Capital Securities disclose two prior regulatory matters, three pending customer disputes , three prior final…
read moreJune 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…
read moreMay 2017- Melville, NY According to publicly available records Keith J. Hart (CRD#4438580) , a stockbroker who is currently not registered, but was previously registered with Aegis Capital Corp., discloses 2 pending customer disputes.…
read moreMay 2017-Westbury, New York The FINRA records of Douglas E. Duncan , a stockbroker who is currently registered with PHX Financial and Scottrade, Inc. disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
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