A National Securities Arbitration & Investment Fraud Law Firm
Back in 2019, we blogged about broker Michael Venturino (CRD #5872439), the subject of multiple customer disputes totaling $1.6 million. Since then, he has additional disclosures, including two judgements, a bankruptcy discharge, and of course, more customer disputes. At this writing, Michael Venturino is still registered and employed with Spartan…
According to FINRA Disciplinary actions for November 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for November 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Carl Buhr Wells Fargo Clearing Services, LLC Morgan Stanley Neil Fineman …
According to FINRA Disciplinary actions for November 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Chad Barancyk…
According to FINRA Disciplinary actions for October 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Darien Bonney…
According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Todd Kalish Park Edge Advisors, LLC McDonald Partners LLC Nicolas Lumermann …
According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
Most investors believe their broker and broker-dealer have their best interests in mind when making recommendations. As we’ve reported many times in this blog, that’s not always the case. The SEC’s newest rule, called Regulation Best Interest, nicknamed Reg BI, is the latest in the effort to make the market…
If your employer offers to hold some of your earnings for a later date, such as retirement, in order to give you a lower tax bracket now, would you take that offer? What happens to the money if you decide to change jobs? For most people, they can change their…
Two people have been charged with running a Ponzi scheme connected to the cattle business that raised around $650 million from victims across the country. The alleged Ponzi schemers, revealed Tuesday, May 11, 2021, by an unsealed federal indictment in Colorado, are Reva Joyce Stachniw, 69, of Galesburg, Illinois, and…