Earlier this year, industry regulator FINRA barred Benjamin Galloway from practicing as a broker. The decision followed Galloway’s refusal to appear for testimony related to[...]
Broker Investigations
Bruce Anthony Zaro (CRD#: 1271065) is a registered FINRA broker. Currently, Mr. Zaro is a representative of International Assets Advisory, LLC, based in Plymouth, Massachusetts.[...]
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[...]
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[...]