O’Neill was discharged from Aegis Capital Corporation for failing to keep the firm updated on his enforcement investigation. Daniel James O’Neill (CRD#: 1358245) was previously[...]
NYLife Securities
FINRA was investigating Cox’s termination due to alleged participation in outside business activities. Gilbert Cox (CRD: 2973703) was registered as a broker with Citizen Securities[...]
Kari Bracy, Formerly of NYLife Securities, Inc., Barred by FINRA for Failure to Appear for Testimony
Bracy allegedly sold investments in Future Income Payments, an alleged Ponzi scheme. The Sonn Law Group is investigating allegations that Kari Bracy sold Future Income[...]
Hynes was being investigated regarding his sale of Future Income Payments, LLC’s structured cash-flow investments. The Sonn Law Group is investigating allegations that Gabriel Hynes[...]
David Kendrick was accused of participating in an investment club without disclosing his involvement with his firm. The Sonn Law Group is investigating allegations that[...]
Timothy Millis allegedly recommended unsuitable investments to several customers between 2015 and 2018. The Sonn Law Group is investigating allegations that Timothy Millis committed misconduct.[...]
On March 1st, 2017, the Financial Industry Regulatory Authority (FINRA) Department of Enforcement issued a formal complaint against Cecil E. Nivens, also known as Ernie[...]