Search for: "PC Trades Brokers, LLC"
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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]
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]
8 Apr 2021, 9:53 am
Tatyana Bunich is currently registered with Independent Financial Group, LLC. [read post]
8 Apr 2021, 9:53 am
Tatyana Bunich is currently registered with Independent Financial Group, LLC. [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]
28 Jun 2010, 4:00 am
By the beginning of the 18th century, when Daniel Defoe wrote about the "Villainy of Stock-Jobbers", the public held a contemptuous view of those who traded in the proto stock markets of the time. [read post]
14 Jul 2021, 4:09 am
In addition, the disciplinary order reportedly granted the registration of Willy’s investment advisory firm, Queen B Advisors, LLC, subject to certain limitations including not having discretionary trading authority over client accounts and prohibition from recommending alternative investments. [read post]
14 Jul 2021, 4:09 am
In addition, the disciplinary order reportedly granted the registration of Willy’s investment advisory firm, Queen B Advisors, LLC, subject to certain limitations including not having discretionary trading authority over client accounts and prohibition from recommending alternative investments. [read post]
14 Jul 2021, 4:09 am
In addition, the disciplinary order reportedly granted the registration of Willy’s investment advisory firm, Queen B Advisors, LLC, subject to certain limitations including not having discretionary trading authority over client accounts and prohibition from recommending alternative investments. [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]
21 Sep 2010, 7:09 pm
Laurie Posner (PNC Capital Advisors) 10:00 – 10:30 – Coffee Break (Sponsored by Firm 58) 10:30 – 11:00 – Manager Selection and Portfolio Creation at a Fund of Funds (Sponsored by Ruddy Law Office, PLLC) Speaker To Be Confirmed (The Kenmar Group) 11:00 – 12:00 – Innovations in Investment Products and Marketing Exchange Traded Funds (Sponsored by Michael Coglianese CPA, PC) Tim Pickering (Auspice Capital Advisors Ltd) 11:00 – 12:00… [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]
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]
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]
27 Aug 2014, 5:21 pm
She is a Licensed Customs Broker. [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]
17 Apr 2011, 12:39 pm
PANELISTS: Bart Mallon | Bart Mallon, PC Mark Ruddy | Ruddy Law Office PLLC Sharon Pendleton | Director, Compliance of NFA Whether you trade traditional futures and options, forex or swaps and derivatives, you will not want to miss this session. [read post]
26 Oct 2023, 12:50 pm
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others. [read post]
