According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Sullivan (Sullivan), previously associated with Trustmont Financial Group, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Sullivan concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jerome Messana (Messana), currently associated with Aegis Capital Corp., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Messana concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alfred Block (Block), currently associated with Buckman, Buckman & Reid, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Block concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Eric Delaney (Delaney), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Delaney concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dennis Malachosky (Malachosky), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Malachosky concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Mickelson (Mickelson), currently associated with Creativeone Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mickelson concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Fay (Fay), currently associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Fay concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joyce Hinds (Hinds), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hinds concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kurt Cambier (Cambier), currently associated with Cambridge Investment Research, INC., has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Cambier concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Douglas Buczak (Buczak), previously associated with Raymond James Financial Services, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Buczak concern allegations of high frequency…
