Search for: "PC Trades Brokers, LLC"
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20 Oct 2020, 5:17 am
Do you Believe you have been a victim of broker misconduct? [read post]
20 Oct 2020, 5:17 am
Do you Believe you have been a victim of broker misconduct? [read post]
16 Oct 2020, 4:45 am
Investors rights attorney Alan Rosca and his Goldman Scarlato & Penny PC law firm colleagues often represent investors who have lost significant money due to brokers’ alleged fiduciary duty breaches. [read post]
16 Oct 2020, 4:45 am
Investors rights attorney Alan Rosca and his Goldman Scarlato & Penny PC law firm colleagues often represent investors who have lost significant money due to brokers’ alleged fiduciary duty breaches. [read post]
4 Aug 2020, 10:33 am
“Labor Law claims in New York generally start around $100,000 and, depending on severity of injury, job description and age of the claimant, can go into the millions,” says Katie Blackburn, senior vice president who manages claims for World Insurance Associates LLC, a large regional insurance broker. [read post]
24 Jun 2020, 6:29 am
Cryptocurrency investor lawyers Alan Rosca and the other Goldman Scarlato & Penny PC attorneys thoroughly investigate alleged broker fraud, fiduciary duty breaches and unsuitability claims. [read post]
24 Jun 2020, 6:29 am
Cryptocurrency investor lawyers Alan Rosca and the other Goldman Scarlato & Penny PC attorneys thoroughly investigate alleged broker fraud, fiduciary duty breaches and unsuitability claims. [read post]
14 May 2020, 5:31 am
Maxim Group LLC employed Luftschein as a broker for two years between 2002 and 2004 before he left to work for the New York-based Gunnallen Financial, Inc. for five years between 2004 and 2010. [read post]
14 May 2020, 5:31 am
Maxim Group LLC employed Luftschein as a broker for two years between 2002 and 2004 before he left to work for the New York-based Gunnallen Financial, Inc. for five years between 2004 and 2010. [read post]
4 Mar 2020, 5:44 am
Broker Erik Patrick Pica, a previously registered broker with John Stone Capital, LLC was recently barred by the Financial Industry Regulatory Authority (FINRA) following an investigation started last year into whether Pica converted and misused $200,000 from an elderly customer, and whether he failed to comply with compliance with FINRA’s investigations, which are violations of FINRA Rules 2150 and 2010, according to an investigation by investor rights attorney,… [read post]
4 Mar 2020, 5:44 am
Broker Erik Patrick Pica, a previously registered broker with John Stone Capital, LLC was recently barred by the Financial Industry Regulatory Authority (FINRA) following an investigation started last year into whether Pica converted and misused $200,000 from an elderly customer, and whether he failed to comply with compliance with FINRA’s investigations, which are violations of FINRA Rules 2150 and 2010, according to an investigation by investor rights attorney,… [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
4 Jul 2019, 1:34 pm
Schwartz‘s trading was unsuitable and caused combined losses of more than $660,000 in four customers’ accounts, Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to James Bradley Schwartz’s alleged churning and excessive trading of the accounts of customers of his member firm, Aegis. [read post]
28 Jun 2019, 11:31 am
Siegel, starting around January 2014, allegedly encouraged said couple to invest in a so-called options program, which he purportedly described as a safe institutional trading program for preferred customers, the Reports note. [read post]
14 Jun 2019, 2:11 pm
[contact-form-7]Contact UsShow less Sean Robert Sullivan Closed a Customer Dispute with No Action Following Allegations of Unauthorized Trading Sean Robert Sullivan has also settled a Customer Dispute that had accused him of alleged unauthorized trading, FINRA notes. [read post]
4 Feb 2019, 2:09 pm
Churning is a practice wherein a broker engages in excessive trading in a client’s account mainly to generate commissions. [read post]
2 Feb 2019, 2:03 pm
Susan Welo Allegedly Allegedly Failed to Disclose to Cetera Advisor Networks LLC that She Purportedly Provided a Loan to a Client while at a Prior Broker-dealer Susan Welo allegedly failed to disclose to Cetera Advisor Networks LLC that she had provided a loan to a client while at a prior broker-dealer, according to an Employment after Separation Disclosure on Welo’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca. [read post]
10 Dec 2018, 6:55 am
Berkey last worked for Four Points Capital Partners LLC in Melville, New York from April 1, 2013 until January 16, 2015, FINRA notes. [read post]
31 Oct 2018, 6:35 am
A claim filed on March 18, 2016 alleged unauthorized trading and was closed with no action, FINRA reports. [read post]
