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21 May 2009, 12:42 pm
On May 19, 2009, the SEC filed a complaint alleging that Guillermo David Clamens, FTC Capital Markets, Inc., a registered broker-dealer he controls, ("FTC"), and Lina Lopez, an FTC employee, engaged in a fraudulent scheme to engage in tens of... [read post]
28 Jan 2019, 9:39 am
Ian Greenblatt (CRD #2276966, aka “Eric Green”) is a registered broker currently employed with Capitol Securities Management, Inc. [read post]
9 Jan 2020, 6:25 am
Stefan Pastor (Stefan Anton Pastor) (CRD: #5141819) is a former registered broker and investment advisor whose last employer was Raymond James Financial Services, Inc. [read post]
5 Oct 2023, 3:58 pm
For example, many investors held accounts with Jacobus through firms like Interactive Brokers LLC (Interactive Brokers) and Charles Schwab & Company, Inc. [read post]
7 Sep 2012, 9:19 am
When Oppenheim learned of an unsuitable recommendation, instead of following the firm’s policy, he allegedly instructed the broker of record to obtain an updated customer account form. [read post]
22 Jan 2021, 12:13 pm
Gregory Williams (Gregory Jon Williams CRD#: 1561089) is a previously registered broker and investment advisor whose last known employer was Forta Financial Group, Inc. [read post]
13 Sep 2018, 9:16 am
William Downing (CRD #1529382) is a former registered broker and investment advisor who was last registered with Coastal Equities, Inc. [read post]
25 Jan 2019, 12:51 pm
Additionally, in 2013, the client moved all of her accounts to CGMI so that Phillips could continue as her broker. [read post]
15 May 2018, 6:59 am
He is not currently registered as a broker within the industry. [read post]
19 May 2021, 2:20 pm
Continue reading The post Broker Spotlight: Martin Lerner of David Lerner Associates, Inc. [read post]
7 Jun 2023, 7:59 pm
ITEM 8.01 OTHER EVENTS.Opinion of the Liquidation Value of our Series J Preferred Stock and Series K Preferred Stock as of December 31, 2022In order to assist broker-dealers in complying with their obligations under FINRA Rule 2331(c)(1)(B) with respect to customer account statements and our non-traded Series J Redeemable Preferred Stock (the "Series [...] [read post]
13 Aug 2018, 10:25 am
(CRD #18246) and Sherwood Capital, Inc. [read post]
5 Oct 2021, 8:25 pm
FINRA has barred former PFS Investments Inc. broker Jeffrey Dampf from the securities industry. [read post]
21 Jun 2019, 12:21 pm
The brokerage firm later found out that at least seven UBS clients who worked with Barrios had transferred their funds from their accounts at the firm to accounts elsewhere. [read post]
21 Jul 2023, 9:28 am
Michael Raineri (Michael Patrick Raineri CRD# 4817558) is a former broker and investment advisor whose last employer was Securities America, Inc. [read post]
27 Jul 2011, 6:12 am
Molinaro Koger Inc., a Vienna, Va. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
10 Nov 2023, 7:29 am
He assisted the client in transferring funds from her brokerage account to her checking account. [read post]
4 Apr 2022, 8:33 am
His previous employers include National Securities Corporation (CRD#:7569) of Westbury, NY, Brookstone Securities, Inc. [read post]
