Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL
May 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer...
View ArticleShadi T. Barakat-Former Aegis Capital Broker-Discloses Customer Disputes...
May 2017-New York The FINRA records of Shadi Taysir Barakat (Sean Barakat) , a stockbroker who is employed by Spartan Capital Securities disclose a prior customer dispute , two currently pending...
View ArticleDennis Rasmusson- Former VSR Financial Broker- Discloses Customer...
April 2017- Scottsdale, AZ The FINRA records of Dennis D. Rasmusson, a stockbroker who is currently employed by Berthel, Fisher & Company Financial Services, Inc. and was previously employed...
View ArticleKeith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute –...
May 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.,...
View ArticleJason N. Anderson-Former LPL Financial Broker-Sued for Churning/Account...
May 2017 – Beaumont, Texas Two elderly former customers of LPL Financial have filed a class action lawsuit against LPL Financial and their former broker Jason N. Anderson seeking damages current and...
View ArticleBlake Kiernan-Former Woodstock Financial Broker Discloses Customer...
May 2017 – Garden City, NY According to publicly available records Blake H. Kiernan (CRD#4477243) , a stockbroker currently not registered, but was previously registered with Woodstock Financial...
View ArticleBaris Dincer-Former Revere Securities Broker-Discloses $1.5M Customer...
June 2017- New York According to publicly available records Baris Dincer (CRD#5637472) , a stockbroker who currently is employed by J.H. Darbie & Co. , discloses 2 pending customer disputes...
View ArticleCathy And Tim Couch-Husband and Wife Brokers With WFG-Disclose Customer...
June 2017- Dawsonville, GA According to publicly available records Cathy Hall Couch (CRD#5276791) , a stockbroker who currently is employed by WFG Investments, Inc. , disclose a pending customer...
View ArticleDavid G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities...
July 2017-New York The FINRA records of David G. Menashe , a stockbroker who is currently employed by Newbridge Securities Corp. , disclose a prior regulatory event. The Financial Industry...
View ArticleNortheast Securities Ordered to Pay Former Customer $1.8...
July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in Mitchelfield , NY, and three of their...
View ArticleTodd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute...
August 2017 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) , a stockbroker who currently is employed by Oppenheimer & Co. , disclose a recently filed...
View ArticleRocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Dispute...
August 2017 -Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) , a currently unregistered stockbroker who was last registered with Arive Capital Markets ,...
View ArticleDave Nicolas-Garden State Securities Broker-Discloses Customer...
August 2017 – Hackensack, NJ According to publicly available records Dave Nicolas (CRD#5176405) , a former stockbroker registered with Garden State Securities, Inc. , disclose a customer dispute. The...
View ArticleTerry Lee Brodt, Jr.-Garden State Securities Broker-Discloses Regulatory...
August 2017 – Boise, Idaho According to publicly available records Terry Lee Brodt, Jr. (CRD#2033812) , a stockbroker currently registered with Garden State Securities, Inc. , disclose a regulatory...
View ArticleFormer Alexander Capital Brokers-Gennity and Roveccio-Named in SEC Fraud...
September 2017-New York Two New York City brokers working for Alexander Capital L.P. have been charged with securities fraud by the Securities and Exchange Commission. William Gennity,30, and Rocco...
View ArticleRaymond James, Former Employer of Angela West and Leon Rehak, Named in FINRA...
October 2017-Ft. Lauderdale, Florida We have recently submitted a FINRA arbitration claim against Raymond James & Associates on behalf of a retired couple from Ft. Pierce, FL, who are seeking...
View ArticleTerry Lee Brodt-Garden State Securities Broker-Discloses Regulatory...
August 2017 – Red Bank, NJ According to publicly available records Terry Lee Brodt, Jr. (CRD#2033812) , a stockbroker currently registered with Garden State Securities, Inc. , disclose a regulatory...
View ArticleChristopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer...
October 2017-Arlington, Texas The FINRA records of Christopher P. Anthony, (CRD #1157930) a stockbroker who is not currently registered and who was last employed by Rhodes Securities, Inc. ,...
View ArticleHank Werner-Former Liberty Partners Broker-Barred For Abusing Account of...
November 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,...
View ArticleZachary Berkey-Former Four Points Capital Broker-Named in SEC...
January 2018-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 complaint...
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