According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Martin Noonan Jr. (Noonan), formerly associated with BMA Securities, LLC (BMA Securities), has been subject to at least one customer complaint, one regulatory action, and eight judgement or liens during his career. The complaint against Noonan concern…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Parrelly (Parrelly), formerly associated with Investment Planners, Inc. (Investment Planners), has been subject to at least eight customer complaints, three regulatory complaints, and one employment termination for cause during his career. Several of those complaints against…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Weisberg (Weisberg), formerly associated with Worden Capital Management LLC (Worden Capital), has been subject to at least four customer complaints and one regulatory action during his career. Several of those complaints against Weisberg concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Carl Antaki (Antaki), currently associated with Network 1 Financial Securities Inc. (Network 1 Financial), has been subject to at least five customer complaints and one employment termination for cause during his career. Some of the investor complaints…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Edward Rudiger (Rudiger), currently associated with Reid & Rudiger LLC (Reid & Rudiger), has been subject to at least six customer complaints and one lien or judgement matters during his career. The two most recent complaints against…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Philip Sparacino (Sparacino), formerly associated with First Standard Financial Company LLC (First Standard), has been subject to at least three customer complaints, one employment termination for cause, two financial disclosures, and two regulatory matters during his career. …
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Albert Foronda (Foronda), currently associated with Spartan Capital Securities, LLC (Spartan Capital), has been subject to at least three customer complaints and one regulatory investigation during his career. The majority of the customer complaints against Foronda concern…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alan Appelbaum (Appelbaum), currently associated with Aegis Capital Corp. (Aegis), has been subject three regulatory actions and at least thirteen customer complaints. The customer complaints against Appelbaum concern various allegations of misconduct including churning, unauthorized trading, and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Peter Monson (Monson), currently associated with Van Clemens & Co. Incorporated (Van Clemens), has been subject to a regulatory investigation by FINRA. The focus of the regulatory investigation is for potential violations of NASD Conduct Rule 2510(b)…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Trevor Rahn (Rahn), formerly associated with J.P. Morgan Securities LLC (JP Morgan), has been subject to at least four customer complaints, one employment termination for cause, and one judgement or lien during his career. The majority of…