Search for: "PC Trades Brokers, LLC"
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30 May 2021, 1:44 am
In a dispute reportedly initiated against the broker in August 2019, the customer alleged that during a six-month period beginning January 2019, while Thurnherr was registered with Winston Hill Capital, LLC, he was engaging in unsuitable trading, wrongful over-concentration, unauthorized trading and fraud and failure to supervise. [read post]
30 May 2021, 1:44 am
In a dispute reportedly initiated against the broker in August 2019, the customer alleged that during a six-month period beginning January 2019, while Thurnherr was registered with Winston Hill Capital, LLC, he was engaging in unsuitable trading, wrongful over-concentration, unauthorized trading and fraud and failure to supervise. [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]
11 Sep 2021, 4:29 am
Investor rights attorney Alan Rosca and his colleagues at Goldman Scarlato & Penny PC law firm are investigating conduct related to broker Adam Belardino’s FINRA allegations. [read post]
11 Sep 2021, 4:29 am
Investor rights attorney Alan Rosca and his colleagues at Goldman Scarlato & Penny PC law firm are investigating conduct related to broker Adam Belardino’s FINRA allegations. [read post]
11 Sep 2021, 4:29 am
Investor rights attorney Alan Rosca and his colleagues at Goldman Scarlato & Penny PC law firm are investigating conduct related to broker Adam Belardino’s FINRA allegations. [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]
29 May 2021, 1:33 am
Investor rights attorney Alan Rosca and his colleagues, of Goldman Scarlato & Penny PC law firm, are investigating conduct related to broker Michael Dellaporta’s alleged involvement in an OBA. [read post]
29 May 2021, 1:33 am
Investor rights attorney Alan Rosca and his colleagues, of Goldman Scarlato & Penny PC law firm, are investigating conduct related to broker Michael Dellaporta’s alleged involvement in an OBA. [read post]
15 Sep 2021, 1:36 am
Investor rights attorney Alan Rosca of the Goldman Scarlato & Penny PC law firm and his colleagues are investigating conduct related to previously registered brokers Joshua Nathan Helmle, Marc Nathan Jaffe and Andrea Friederike Wood. [read post]
15 Sep 2021, 1:36 am
Investor rights attorney Alan Rosca of the Goldman Scarlato & Penny PC law firm and his colleagues are investigating conduct related to previously registered brokers Joshua Nathan Helmle, Marc Nathan Jaffe and Andrea Friederike Wood. [read post]
15 Sep 2021, 1:36 am
Investor rights attorney Alan Rosca of the Goldman Scarlato & Penny PC law firm and his colleagues are investigating conduct related to previously registered brokers Joshua Nathan Helmle, Marc Nathan Jaffe and Andrea Friederike Wood. [read post]
11 Apr 2021, 7:00 am
The client further alleged that the broker made poor recommendations and the investments were unsuitable, while also engaging in unauthorized trading. [read post]
11 Apr 2021, 7:00 am
The client further alleged that the broker made poor recommendations and the investments were unsuitable, while also engaging in unauthorized trading. [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]
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]
