FINRA Investigation Archives - New York Investment Fraud Lawyer

Eric Stiba is Facing SEC Allegations Regarding Regulation Best Interest

Sep 11, 2024 FINRA Investigation

Eric Stiba (CRD #: 5635690), a broker registered with Lion Street Financial, is the subject of an SEC investigation. This is according to his BrokerCheck […]

James Lukezic is the Subject of a FINRA Investigation

Sep 11, 2024 FINRA Investigation

James Lukezic (CRD #: 4284800) is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck record, accessed on September 10, 2024. Investors […]

Richard Mireles Allegedly Engaged in Excessive Trading

Aug 5, 2024 FINRA Investigation

Richard Mireles (CRD #: 5288651), a broker registered with Independent Financial Group, is the subject of an investor dispute. This disclosure appears on his BrokerCheck […]

David Cooper is the Subject of an Investigation Regarding Stock Market Manipulation

Aug 5, 2024 FINRA Investigation

David Cooper (CRD #: 5357930), a previously registered broker with Joseph Gunnar & Co., is the subject of an investigation. This disclosure appears on his […]

Frederick Cammarano is the Subject of a FINRA Investigation

Aug 5, 2024 FINRA Investigation

Frederick Cammarano (CRD #: 2277307), a broker registered with Spartan Capital Securities, is the subject of a FINRA investigation. This is according to his BrokerCheck […]

Gus Tsamos is Facing a FINRA Suspension

Aug 2, 2024 FINRA Investigation

Gus Tsamos (CRD #: 2782014) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on August 2, 2024. Keep reading if […]

Kristopher Kessler Allegedly the Subject of a FINRA Investigation

Jul 2, 2024 FINRA Investigation

Kristopher Kessler (CRD #: 4543640), a broker registered with American Trust Investment Services, is the subject of an investor dispute. This is according to his […]

Martin Lerner Facing a FINRA Investigation

Jul 2, 2024 FINRA Investigation

Martin Lerner (CRD #: 871938), a previously registered broker with David Lerner Associates, is the subject of a regulatory investigation. This disclosure appears on his […]

Martin Walcoe Subject of a FINRA Investigation

Jul 2, 2024 FINRA Investigation

Martin Walcoe (CRD #: 1593935), a broker registered with David Lerner Associates, is the subject of an investor dispute. This is according to his BrokerCheck […]

Rafe Klein is Facing a FINRA Investigation

Jun 4, 2024 FINRA Investigation

Rafe Klein (CRD #: 2865823), a broker registered with David Lerner Associates, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck […]