Joseph Kelly (CRD #: 4560737), a broker registered with Spartan Capital Securities, allegedly engaged in unauthorized and excessive trading, according to his BrokerCheck record, accessed […]
Jack Terzi (CRD #: 7008502), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly churned a client’s account, according to his BrokerCheck record, […]
Jason Rossi (CRD #: 4384426), a broker registered with Aegis Capital Corporation, is the subject of a pending investor dispute, according to his BrokerCheck record, […]
Frank Giacalone (CRD #: 4314174), a broker registered with Aegis Capital Corporation, is involved in a pending dispute, according to his BrokerCheck record, accessed on […]
Dominick Diorio Allegedly Engaged in Excessive and Unauthorized Trading
Mar 11, 2023
Unauthorized Trading
Dominick Diorio (CRD #: 2447817), a broker registered with Aegis Capital Corporation, allegedly violated several FINRA rules, according to his BrokerCheck record, accessed on March […]
Luis Abreu (CRD #: 6604422), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, resigned from that firm, according to his BrokerCheck record, […]
James Paige (CRD #: 1726609), a broker registered with Wells Fargo Clearing Services, is the subject of three pending investor disputes, according to his BrokerCheck […]
Kelly Rose (CRD #: 2165846), a broker registered with Pruco Securities, is involved in a pending investor dispute, according to her BrokerCheck record, accessed on […]
George Salidas (CRD #: 4296210), a broker registered with Morgan Stanley, allegedly executed unauthorized trades, according to his BrokerCheck record, accessed on February 22, 2023. […]
Gregory Dufala (CRD #: 5353950), a broker registered with LPL Financial, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed […]