October 2019-Farmington, NY The FINRA records of Praxedes Russi , a financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial disclose 2…
read moreJune 2019 – Melville, NY According to publicly available records, Ahmad Wares, a financial advisor previously with Laidlaw & Company discloses 1 pending and 9 prior customer disputes, and a…
read moreMarch 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…
read moreOctober 2016-Farmingdale, NY The FINRA records of Thomas J. Tedeschi, a stockbroker who is currently employed by Salomon Whitney Financial disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…
read moreUPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…
read moreJuly 2016-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…
read moreFarmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…
read moreAPRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…
read moreApril 2018 UPDATE-New York 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…
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