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…
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…