A National Securities Arbitration & Investment Fraud Law Firm
Failure to provide on-the-record testimony to FINRA results in disciplinary action After termination from employment with Morgan Stanley in 2014 following allegations surrounding his status as an executor and beneficiary in a client’s estate and his use of discretion in several client accounts, broker Justin Amaral has been permanently barred…
Broker failed to respond to FINRA information requests after allegations of excessive trading in numerous customer accounts After 19 years in the securities industry, Antonio Costanzo has received a permanent bar from FINRA from acting in the capacity of a broker or other financial adviser, according to the FINRA website.…
Barred for allegedly aiding and abetting violation of federal securities law After 16 years in the securities industry, James E. Scott has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Scott was most recently registered with International Assets Advisory,…
His career in securities ends with failure to respond to FINRA request After only six years in the securities industry, broker Charles Damien Johnson has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. According to the FINRA BrokerCheck website,…