Garrett Moretz (Garret Wayne Moretz CRD# 4086791) is a broker and investment advisor currently registered with Lifemark Securities Corp. (CRD# 16204) of Mooresville, NC. His previous employers include First Heartland Consultants, Inc. (CRD# 110377) and First Heartland Capital, Inc. (CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. (CRD# 141047)…
Securities Arbitration Lawyers Blog
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement January, 2024
According to FINRA Disciplinary actions for January 2024, 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 Scott Reed First Financial Equity Corporation Wells Fargo Clearing Services, LLC Brokers and…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information January 2024
According to FINRA Disciplinary actions for January 2024, 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 Jack McBride…
FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2024
According to FINRA Disciplinary actions for January 2024, 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…
FINRA Files Disciplinary Proceeding Against Broker Stewart Ginn After Churning Allegations
Stewart Ginn (CRD# 4503197, aka “Stewart Taylor,” “Paxton Ginn Jr”) is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA. His previous employers include Navian Capital Securities LLC (CRD#:145037) of Cincinnati, OH, Newbridge Securities Corporation (CRD# 104065) of New York, NY, and Chicago…
Broker Michael Digioia Suspended After Failing To Pay Judgment
Michael Digioia (Michael Joseph Digioia CRD# 4073951, aka Michael Joseph Di Gioia, Michael Di Gioia, Mike Joseph Di Gioia, Mike Ross) is a previously registered broker last employed with Lampost Capital, L.C. (CRD# 43706) of Boca Raton, FL. His previous employers include Arive Capital Markets (CRD# 8060) of Bay Ridge,…
Michael Fasciglione Suspended After Failing To Respond To FINRA Query
Michael Fasciglione (CRD# 1806486) is a previously registered broker last employed with Aegis Capital Corp. (CRD# 15007) of Garden City, NY. His previous employers include National Securities Corporation (CRD# 7569) of Mineola, NY, First Montauk Securities Corp. (CRD#:13755) of Port Washington, NY, and Oppenheimer & Co. Inc. (CRD# 249)…
Silver Law Group Investigating Mondee Holdings
Silver Law Group is investigating Mondee Holdings on behalf of investors who bought or acquired Mondee Securities. If you invested in Mondee Securities and have questions about your legal rights, or if you have information relevant to this matter, contact Silver Law Group for a no-cost consultation at 800-975-4353 to…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December 2023
According to FINRA Disciplinary actions for December 2023, 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 John Carlson Capital Financial Services, Inc. Integrity Funds Distributor, Inc. John Goodwin…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2023
According to FINRA Disciplinary actions for December 2023, 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 Thomas Cole…