Tag Archives: Alfonse Joseph Stazzone Jr

Worden Capital Stockbroker Under FINRA Investigation

September 16, 2021  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Worden Capital Stockbroker Under FINRA Investigation

David Khezri of Melville New York a stockbroker formerly registered with Worden Capital Management and Network 1 Financial Securities Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) investigation in which the regulator recommended that Khezri face disciplinary action for possible violations of FINRA rules and securities laws pertaining to excessive and unsuitable […]

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Another Woodstock Financial Stockbroker Sanctioned For Excessive Trading

August 26, 2021  |   Posted by :   |   Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Another Woodstock Financial Stockbroker Sanctioned For Excessive Trading

Alfonse Joseph Stazzone Jr of Holmdel New Jersey a stockbroker formerly registered with Woodstock Financial Group has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Stazzone made unsuitable and excessive trades in a customer’s account when Stazzone was […]

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