Tag Archives: Broker

Jeffrey Alan Glusman, Merrill Lynch Broker

Posted on June 22, 2018 by admin

Jeffrey Glusman (CRD #4427168) is a currently registered broker with Suntrust Investment Services, Inc. (CRD #17499) of Jupiter, FL. He was previously employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) at its Fort Lauderdale, FL office. FINRA … Continue reading →

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FINRA Bars Former MML Investors Services Broker Brian Travers

Posted on June 14, 2018 by admin

The Financial Industry Regulatory Authority (FINRA) recently barred former MML Investors Services broker Brian Travers from the industry. Mr. Travers was alleged to have engaged in private securities transactions, and FINRA was investigating him for it. Brian Travers also refused … Continue reading →

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Investor Update: Former Broker Matthew Eckstein Arrested

Posted on June 13, 2018 by admin

Stoltmann Law Offices has learned that former Sisk Investment Services broker Matthew Eckstein was arrested on June 7th, 2018 by Nassau County, New York. Mr. Eckstein, along with another broker, Kevin Brody, were involved with Conmac Funding Corp, a scheme … Continue reading →

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The First Data Broker Law

Posted on June 13, 2018 by admin

Vermont is the first state to enact a law that will regulate data brokers that aggregate and sell data about consumers. The driving impetus of the legislation is to provide consumers with more information about the collection of their data … Continue reading →

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Woodbridge Investors Solicited by Former Quest Capital Broker Frank Dietrich May Have Arbitration Claims

Posted on June 11, 2018 by admin

If you invested in Woodbridge upon the recommendation of former financial advisor Frank Roland Dietrich (“Dietrich”), you may be able to recover your losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”).  According to FINRA BrokerCheck, a number of … Continue reading →

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