A National Securities Arbitration & Investment Fraud Law Firm
Jeffrey Lance Offen (CRD #2893980) is a former registered broker whose last employer was Craft Capital Management LLC (CRD #171350) of Garden City, NY. His previous employers include Salomon Whitney Financial (CRD #145012) of Farmingdale, NY, Network 1 Financial Securities Inc. (CRD #13577) of Syosett, NY, and Laidlaw & Company…
David Krumrey (CRD #4121845) was employed by Oppenheimer & Co, Inc. from March 2009 through September 2017. Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to Jan 2009. Krumrey is barred from association with an FINRA…
Vicente Davila (CRD #4419824) was employed by Morgan Stanley from April 2016 through February 2018. Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. Davila was suspended on April 27, 2018, from associating…
Ineffective supervision leads to FINRA suspension of financial services provider Roman T. Luckey, formerly registered with Newport Coast Securities Inc., was fined $15,000 and also suspended for 14 months by the Financial Industry Regulatory Authority (FINRA) in August 2015 for failure to appropriately supervise his staff, who were taking advantage…
King allegedly concealed loans from the firm, among other violations Fort Lauderdale-based broker Sylvester King, Jr. found himself in hot water with FINRA in April 2015, according to the BrokerCheck website. So much so that he resigned from his most recent employer, Wells Fargo Advisors, LLC the same day he…
Currently employed by and registered with Blackbook Capital, LLC Since 1997, Michael Anthony McGregor has been registered with FINRA as a General Securities Representative (GSR). Through the years, McGregor has been subject to judgments and liens that have not been properly reported. By not reporting them, Michael McGregor is in…