According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stephen Sullivan (Sullivan), 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 Sullivan concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Howard Kavinsky (Kavinsky), previously associated with Supreme Alliance LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kavinsky concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joao Pinto (Pinto), currently associated with Spartan Capital Securities, LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Pinto concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jesse Krapf (Krapf), previously associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Krapf concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Valenta (Valenta), 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 Valenta concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Maher (Maher), currently associated with Concorde Investment Services, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Maher concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Ted Oliver (Oliver), previously associated with Davenport & Company LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Oliver concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Doyle (Doyle), currently associated with Axiom Capital Management, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Doyle concern allegations of high frequency trading…
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 Richard Siminou (Siminou), currently associated with Kingswood Capital Partners, LLC, has been subject to at least 3 disclosable events. These events include one customer complaint, 2 regulatory events. Several of those complaints against Siminou concern allegations of…