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Tag Archives: Broker
BROKER TERMINATIONS
Are you a financial adviser who has been terminated unfairly? Well, if you are, you are not alone. The attorneys at Cosgrove Law Group, LLC have represented advisers all over the country who have fallen prey to a system very … Continue reading
Broker John Cione Subject of $600K Customer Dispute
John Michael Cione (CRD #1742561) is a registered broker and investment advisor currently employed with Independent Financial Group (CRD #7717) of San Diego, CA. His previous employers include Sentra Securities Corporation (CRD #10249) and Spelman & Co., Inc. (CRD #10232) … Continue reading
Posted in Securities Law
Tagged $600K, Broker, Cione, Customer, dispute, John, Subject
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FINRA Suspends Broker Jonathan Iraggi For Compliance Issue
Jonathan William Iraggi (CRD #5857254) is a former registered broker whose last employer was National Securities Corporation (CRD #7569) of Morganville, NJ. His previous employers include Garden State Securities, Inc. (CRD #10083) of Red Bank, NJ, Spartan Capital Securities, LLC … Continue reading
Posted in Securities Law
Tagged Broker, Compliance, FINRA, Iraggi, issue, Jonathan, Suspends
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Former Cetera Advisors Broker Scott Kozak Accused of Selling Unapproved Securities
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over … Continue reading
Posted in Securities Law
Tagged accused, advisors, Broker, Cetera, Former, Kozak, Scott, Securities, selling, Unapproved
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Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. November 2018-Mansfield, TX According to publicly available records Bradley Kyle Scott , (CRD# 4381014) , a stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop Securities) disclose … Continue reading
Posted in Securities Law
Tagged $1.4, Bradley, Broker, Customer, Discloses, Financial, Mansfield, million, ScottLPL, Settlement
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