Financial Disclosure Archives - New York Investment Fraud Lawyer

Jose Batalla Suspended After Allegedly Failing to Disclose Tax Lien

Jan 25, 2022 Financial Disclosure

Jose Batalla (CRD #: 4140971), a broker registered with PFS Investments, has been suspended by FINRA for allegedly failing to disclose an unsatisfied federal tax lien in […]

William Hobby Facing Six-Figure Investor Disputes

Oct 8, 2021 Financial Disclosure

William Hobby (CRD #: 2240076), a former broker registered with UBS Financial Services, is facing bankruptcy, according to his BrokerCheck record, accessed on September 27, […]

Michael Capolongo Has Entered Bankruptcy Following Investor Dispute 

Oct 8, 2021 Financial Disclosure

Michael Capolongo (CRD #:5702165), a broker registered with Network 1 Financial Securities, is facing bankruptcy and a recent investor dispute according to his BrokerCheck record,  accessed on November 25, […]

Everton Lewis Subject of Tax Liens

Oct 1, 2021 Financial Disclosure

Everton Lewis (CRD #: 2469780), a broker registered with NYLife Securities, is the subject of multiple tax liens according to his BrokerCheck record, accessed on […]

James Nelson Subject of a Tax Lien and a Pending Investor Dispute

Sep 24, 2021 Financial Disclosure

James Nelson (CRD #: 1365220), a broker registered with International Assets Advisory, is facing a new tax lien, according to his BrokerCheck record, accessed on […]