According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Daniel Drahos (Drahos), currently associated with Stirlingshire Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Drahos concern allegations of high frequency trading activity also…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Athas (Athas), previously associated with Sw Financial, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Athas concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Scott Martinson (Martinson), previously associated with Arive Capital Markets, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Martinson concern allegations of high…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Eric Nicolassy (Nicolassy), currently associated with Network 1 Financial Securities INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nicolassy concern allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Nicholas Schiano (Schiano), currently associated with Spartan Capital Securities, LLC, has been subject to at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory events. Several of those complaints against Schiano concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alfonso Figueroa Bello (Figueroa Bello), previously associated with Stonecrest Capital Markets, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Figueroa Bello concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Olivier Gillier (Gillier), previously associated with Tigress Financial Partners, LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Gillier concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alfred Block (Block), currently associated with Buckman, Buckman & Reid, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Block concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Dandrea (Dandrea), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dandrea concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Francis Cunningham (Cunningham), currently 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…