According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Serge Parakhnevich (Parakhnevich), currently associated with PHX Financial, INC., has been subject to at least 3 disclosable events. These events include 2 customer complaints, one regulatory event. Several of those complaints against Parakhnevich concern allegations of high…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Gustafson (Gustafson), previously associated with Fordham Financial Management, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Gustafson concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Margaret Laquidara (Laquidara), previously associated with Aegis Capital Corp., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Laquidara concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Harvey Cohen (Cohen), previously associated with Purshe Kaplan Sterling Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cohen concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Neil Kaplan (Kaplan), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaplan concern allegations of high frequency trading activity also…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Valdini (Valdini), previously associated with Joseph Stone Capital L.l.c., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Valdini concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Johnny Guan (Guan), previously associated with Aegis Capital Corp., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Guan concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Donald Fowler (Fowler), previously associated with Worden Capital Management LLC, has been subject to at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory events. Several of those complaints against Fowler concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lee Nordstrom (Nordstrom), previously associated with LPL Financial LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nordstrom concern allegations of high…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wilfredo Ortiz Aponte (Ortiz Aponte), previously associated with Pariter Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Ortiz Aponte concern allegations of high…