Articles Tagged with Ridgeway & Conger

Former New York Ridgeway & Conger Broker Kenley Brisard Under Investigation

January 25, 2017 | Silver Law Group

Silver Law Group is investigating former Jericho, New York Ridgeway & Conger, Inc. (CRD# 113055) Kenley Brisard (CRD# 2641960) after FINRA permanently barred the broker.

According to Brisard’s FINRA BrokerCheck report, FINRA permanently barred Brisard.

According to Brisard’s BrokerCheck report, in January 2016 Brisard was named a respondent in a FINRA complaint alleging that he sold an unregistered security. FINRA found that Brisard sold unsuitable investments at undisclosed markups of 14-33 percent using general solicitation emails that fraudulently misrepresented the product and the respondent’s role in its development.

National Securities Corporation Broker Leigh M. Garber Suspended by FINRA

January 25, 2017 | Silver Law Group

Silver Law Group is investigating New Woodstock, New York-based National Securities Corporation (CRD# 7569) Leigh M. Garber (CRD# 2768572) after FINRA fined the broker $10,000 and suspended her for three months.

According to Garber’s FINRA BrokerCheck report, in October 2016, FINRA and Garber entered into an Acceptance, Waiver & Consent (“AWC”) concerning the allegations.

Without admitting or denying the findings, Garber consented to the sanctions and certain findings. According to the AWC, Garber, as president and CEO of a Ridgeway & Conger, allowed her member firm to conduct a securities business while not maintaining sufficient net capital. According to the AWC, Garber was responsible for the firm’s net capital compliance.