Articles Posted in Capitol Securities Management

According to BrokerCheck records financial advisor Ian Greenblatt (Greenblatt), currently employed by Capitol Securities Management, Inc. (Capitol Securities) has been subject to at least four customer complaints and one regulatory action.  According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Greenblatt’s customer complaints allege that Aziz…

Broker Andrew Kramer (Kramer) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action.  According to the FINRA AWC (Letter of Acceptance, Waiver, and Consent) FINRA found that Kramer consented to sanctions that he failed to respond to FINRA’s requests for documents and information related to…

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Marshall Cassedy (Cassedy). According to BrokerCheck records Cassedy is subject to 17 customer complaints, 3 regulatory actions, and one employment separation. The customer complaints against Cassedy allege securities law…