According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Brian Clark (Clark), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Clark concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Palmery Desir (Desir), previously associated with Richfield Orion International, INC., has been subject to at least 3 disclosable events. These events include one customer complaint, 2 regulatory events. Several of those complaints against Desir concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kevin Albritton (Albritton), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Albritton concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Ryan Shoop (Shoop), currently associated with Westminster Financial Securities, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Shoop concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jacquin Fink (Fink), previously 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 Fink concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Ben Sutak (Sutak), currently associated with Thinkequity LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Sutak concern allegations of high frequency trading activity also…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Blumer (Blumer), previously associated with Spartan Capital Securities, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Blumer concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Larry Schwartzman (Schwartzman), currently associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Schwartzman concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Charles Malico (Malico), previously associated with Network 1 Financial Securities INC., has been subject to at least 3 disclosable events. These events include 2 customer complaints, one regulatory event. Several of those complaints against Malico concern allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joachim Terzi (Terzi), currently associated with J.P. Morgan Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Terzi concern allegations of high frequency trading…