According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Notrica (Notrica), currently 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 Notrica concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Johnson (Johnson), currently associated with Vanderbilt Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Johnson concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Thompson (Thompson), previously associated with Network 1 Financial Securities INC., has been subject to at least one disclosable event. These events include one regulatory event. Several of those complaints against Thompson concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Viqas Akhtar (Akhtar), 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 Akhtar concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Knutson (Knutson), 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 Knutson concern allegations of high frequency trading activity also…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Nathan Wells (Wells), currently associated with Cetera Wealth Services, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Wells concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Puma (Puma), previously 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 Puma concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Benjamin Davis (Davis), 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 Davis concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Marilyn Hoosen (Hoosen), currently associated with Stifel Independent Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hoosen concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Desapio (Desapio), previously associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one regulatory event. Several of those complaints against Desapio concern allegations of high frequency trading…