A National Securities Arbitration & Investment Fraud Law Firm
The New York broker was accused of churning an elderly customer’s account Anthony Mastroianni is no longer allowed to act as a broker. Due to allegations against him concerning excessive trading and borrowing client funds, the Financial Industry Regulatory Authority (FINRA) requested that he appear for on-the-record testimony. Because he…
FINRA permanently barred the broker after he admitted to theft from an elderly client and failed to respond to information requests In January of 2012, Raul Jacobs began working as a broker for MetLife Securities Inc. out of Orland Park, IL. But just three years later, his career came to…
The sanctions resulted after allegations of unsuitable investments for an elderly client In December of 2016, allegations surfaced claiming that broker Scott Goldman recommended an unsuitable investment strategy to an elderly customer. When the Financial Industry Regulatory Authority (FINRA) investigated, the agency fined Goldman $10,000 and suspended him for 20…
Allegations of failing to disclose pertinent tax information led to the sanctions against the former First Standard Financial and Phoenix Financial Services broker As of November 2016, Francesco Scarso, formerly with First Standard Financial Company LLC and Phoenix (PHX) Financial Services, is no longer allowed to act as a broker.…
Silver Law Group is investigating former Boca Raton, Florida-based Herbert J. Sims & Co. Inc. (CRD# 3420) (“HJ Sims”) broker Larry Charles Wolfe (CRD# 502361) after five (5) customers filed complaints alleging unauthorized trading. According to Wolfe’s FINRA BrokerCheck report, Wolfe has thirteen (13) disclosures. Allegations of churning, unsuitability and…
According to FINRA Disciplinary actions for March 2017, 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 Dennis…
According to FINRA Disciplinary actions for March 2017, 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: NAME FORMER EMPLOYERS Philip Bagalanon…
According to FINRA Disciplinary actions for March 2017, 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 Michael David Charest Citizens Securities, Inc. CCO Investment Services Corp. William Thomas…
Silver Law Group is investigating former New York-based broker Christopher J. Calandrino (CRD# 5238231) after he resigned from Joseph Stone Capital L.L.C. (CRD# 159744) for allegedly selling outside investments. According to Calandrino’s FINRA BrokerCheck report, Joseph Stone allowed Calandrino to voluntarily resign in October 2016 while the firm investigated him…
Silver Law Group is investigating former New Jersey-based Concorde Investment Services, LLC (CRD# 151604) brokers Jill M. Cody (CRD# 4333419) (also known as Jill Tramontano (“Tramontano”)) and Richard G. Cody (CRD# 2794558) (“Cody”) after the SEC filed charges against Cody and FINRA barred Tramontano. In December 2016, the SEC filed…