Search for: "Joseph Marino"
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30 Jan 2018, 7:53 am
(FINRA Case #2015046537501) Walter Joseph Marino (CRD #2121623, Dix Hills, New York) – An Offer of Settlement was issued in which Marino was suspended from association with any FINRA member in all capacities for one year. [read post]
7 Nov 2017, 6:15 am
(FINRA Case #2015046537501) Walter Joseph Marino (CRD #2121623, Dix Hills, New York) – Marino was named in an amended FINRA complaint in which an additional cause of action was added to a FINRA complaint originally filed on April 24, 2017. [read post]
7 Feb 2018, 11:12 am
(“Legend”) broker Walter Joseph Marino (“Marino”) for allegations of unsuitable recommendations and charging excessive commissions and fees in customer accounts. [read post]
11 Sep 2014, 8:19 am
Professor Joseph Marino offers some advice. [read post]
19 Dec 2014, 11:34 am
Joseph Marino has posted an insightful article concerning where the blame belongs on Above the Law. [read post]
10 Feb 2009, 9:00 am
Termini, Joseph Marino was one of three owners-of-record of a piece of property when the partnership split up in June of 2000, and a court directed the property be sold and the net proceeds distributed. [read post]
11 Oct 2010, 1:30 pm
Professor Joseph L. [read post]
23 Aug 2010, 5:44 am
In a twist, however, Scarpaci's lawyer, Joseph R. [read post]
28 Dec 2017, 10:14 am
. OPEN SEATS GROUP 2: (Judge Mary Jo Francis retiring): Jeffrey CynamonJacqueline Woodward (switched from County Group 43) GROUP 18: (Judge Deborah White-Labora retiring): Laura Cruz (first filed in Circuit and then switched to County)Mike Mirabal (switched from County Group 33) GROUP 32: (Judge Caryn Canner Schwartz retiring): Rosy Aponte (first filed in Circuit and then switched to County)Chris Pracitto GROUP 33: (Judge Teretha Thomas Lundy retiring): Olanike AdebayoMadelin DiazEleane… [read post]
11 Oct 2017, 10:29 am
In the second disciplinary proceeding, filed Oct. 6, FINRA charged former Legend Equities broker Walter Joseph Marino with recommending unsuitable variable annuity replacements that benefitted him to the tune of $60,000 in commissions while his customers—including a 78-year-old retired widow—suffered financial harm, including incurring surrender charges and tax liabilities, due to the unsuitable recommendations. [read post]
7 Mar 2012, 7:38 pm
Marino, and Joseph D. [read post]
5 Aug 2009, 2:07 pm
Marino, Gene Panariello and Joseph R. [read post]
15 Dec 2017, 1:02 pm
The findings stated that Crumb served as CEO of a corporation he had created for tax and accounting purposes in connection with his securities business without providing prior written notice to his firmWalter Joseph Marino (CRD #2121623, Dix Hills, New York) Marino was suspended from association with any FINRA member in all capacities for one year. [read post]
22 Aug 2011, 3:21 pm
- New York attorney Joseph Rosenbaum of Reed Smith on the firm's blog Legal Bytes Criminal Negligence? [read post]
12 Mar 2012, 2:00 pm
Ottermann's passengers were also injured in the crash: 17 year-old Joseph Alvey was taken to a Sullivan hospital with moderate injuries, and 17 year-old Michael Marino was taken to Rolla with minor injuries. [read post]
19 Feb 2015, 8:45 am
Secret Service Acting Special Agent in Charge Charles Marino, announced the guilty plea. [read post]
16 Dec 2022, 11:34 am
“Billimek allegedly took advantage of his position and abused his employer’s trust by providing Williams with proprietary information that allowed them to gain a trading advantage and pocket tens of millions of dollars in profits,” said Joseph G. [read post]
12 Oct 2015, 6:00 am
The four expert witnesses called by the plaintiff include 1) Michael Marino, a Connecticut state trooper who headed up the investigation of the fire; 2) Bill Lewis, a certified fire inspector; 3) Joseph Cristino, an electrical engineer and 4) Dr. [read post]
17 Feb 2012, 7:10 am
Marino, the lawyer for Mr. [read post]
31 Jan 2016, 1:43 pm
“Two Credit Suisse ATSs failed to operate as advertised, and failed to comply with numerous regulatory requirements over a multi-year period,” said Joseph Sansone, Co-Chief of the Market Abuse Unit. [read post]
