According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods), currently associated with Stirlingshire Investments, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Woods concern allegations of high frequency trading activity also…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Prestia (Prestia), previously associated with Laidlaw & Company (UK) Ltd., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Prestia concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Yasnis (Yasnis), 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 Yasnis concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Murray (Murray), previously associated with Monmouth Capital Management LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Murray concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Solomon Krispeal (Krispeal), previously associated with PHX Financial, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Krispeal concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Francis Cunningham (Cunningham), previously associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cunningham concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Sam Aziz (Aziz), previously associated with David A. Noyes & Company, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Aziz concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mandy Rofe (Rofe), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Rofe concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bernard Jasmin (Jasmin), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Jasmin concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Todd Sanders (Sanders), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Sanders concern allegations of high frequency trading activity…