Earlier this year, broker Suresh Basnet served a 45-day suspension for his role in alleged unapproved private securities transactions. The suspension was one of two[...]
Investment Loss Investigations
Barbara Bonnie Fox (CRD#: 3206840) is a previously registered broker/investment advisor. From 2012 to 2018, Ms. Fox served as a representative of SunTrust Investment Services[...]
Matthew Philip Amos (CRD#: 1177946) is a former investment advisor. From July 2001 to July 2018, Mr. Amos was a representative with PFA Security Asset[...]
Jay R. Weiser (CRD#: 1511042) is a former broker and registered investment advisor (RIA). From June 2000 to June 2018, Mr. Weiser was employed at[...]
Mark Isidore Lamendola (CRD#: 1133485) is a former registered broker and investment advisor. From 2013 to 2018, Mr. Lamendola served as a representative for World[...]
Stewart Clinton Malloy (CRD#: 1029931) is a previously registered securities broker. From 2009 to 2015, Mr. Malloy was employed at Morgan Stanley in Riverhead, New[...]
A recent FINRA decision has barred former JP Morgan associate Qianqi Rao from acting as a broker. Rao did not admit or deny the allegations.[...]
FINRA records show broker Lily Pirouzian paid out $250,000 to settle a customer complaint. Pirouzian, based in New York, is currently registered with HSBC Securities[...]
Jason Reynolds, a broker with Independent Financial Group was fired following alleged FINRA rule violations. A former customer lodged a formal complaint alleging Reynold advertised[...]
CONSUMER ALERT: The FTC stated in a March 18, 2019 filing that “thousands of [Simple Health’s] victims continue to be charged each month by the[...]