Frank Levi Martin (also known as Frangel Levi Martin and Frangel Levi Martinez), of Brooklyn, New York, a stockbroker now registered with LPL Financial, has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any supervisory capacity because Martin failed to supervise trading activities and investigate red flags…
Robert Anthony Guidicipietro (also known as Robert Peters), of Bay Ridge, New York, a stockbroker registered with Arive Capital Markets, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Guidicipietro failed to comply with an arbitration award or settlement agreement or otherwise confirm his compliance. FINRA Case…
Lon Charles Faccini Jr. of Coram, New York, a stockbroker registered with Arive Capital Markets, has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Faccini engaged in excessive and unsuitable trading and had inappropriately used margin in customer accounts. Letter of…
Christopher Alexander Polinaire (also known as Chris Polinaire), of Hauppauge, New York, a stockbroker registered with Arive Capital Markets, has been fined $7,500.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Polinaire engaged in excessive trading and made unsuitable recommendations. Letter of Acceptance, Waiver,…
Mitchell Scott Biernick of Freeport, New York, a stockbroker registered with Arive Capital Markets, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Biernick failed to testify during the time that FINRA investigated the stockbroker for possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent…
Mirsad A. Muharemovic (also known as Mirso Muharemovic), of Staten Island, New York, a stockbroker registered with Arive Capital Markets, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $115,000.00 in damages based upon allegations that Muharemovic churned the customer’s account, engaged in excessive trading, and made…
John Joseph Santariello of Coram, New York, a stockbroker registered with Arive Capital Markets, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Santariello failed to pay a FINRA arbitration customer award against him for more than $420,000. FINRA Arbitration No. 19-02196 (Jan. 10,…
Scott Randall Martinson, of Staten Island, New York, a stockbroker formerly registered with First Standard Financial Company LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he failed to adequately supervise a stockbroker which resulted in unsuitable and excessive trading…
Robert Anthony Guidicipietro (also known as Robert A. Peters), of Bay Ridge, New York, a stockbroker formerly registered with Arive Capital Markets, has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Guidicipietro made excessive and unsuitable trades in…
Joseph Augustien Lianzo of Melville New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. has been suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Lianzo made excessive and unauthorized trades in customers’ accounts when he was associated with Laidlaw Company….
Richard Lyndon Brown of Farmingdale New York a stockbroker formerly registered with Arive Capital Markets and Chelsea Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Brown neglected to cooperate with a FINRA Arbitration Award where he was ordered to pay a…
Lisa Acca of Bay Ridge New York a stockbroker formerly employed by Arive Capital Markets has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity founded on accusations of the stockbroker neglecting to testify for FINRA and failing to provide information or documentation to the regulator while…
Mirsad A. Muharemovic (also known as Mirso Muharemovic) of Brooklyn New York a stockbroker currently registered with Arive Capital Markets is the subject of a customer initiated investment related arbitration claim where the customer sought $307,042.00 in damages based upon accusations that stock trades effected by Muharemovic were not suitable for the customer and that…
Richard Lyndon Brown of Farmingdale New York a stockbroker formerly registered with Arive Capital Markets has been charged by Securities and Exchange Commission (SEC) in a Complaint in which the regulator is seeking sanctions against Brown based upon allegations that the stockbroker engaged in a fraudulent bribery scheme violative of federal securities laws. Securities and…
Lisa Acca of Bay Ridge New York a stockbroker registered with Arive Capital Markets has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Acca failed to submit documentation to FINRA and provide testimony in the course of a FINRA investigation into allegations of her…
Casey Thomas Rodriguez of Farmingdale New York a stockbroker formerly registered with Arive Capital Markets has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he failed to provide FINRA with information requested of him in regard to his activities. Case No. 2017054592101 (Oct. 24,…
Richard L. Brown, of Farmingdale, New York, a stockbroker formerly registered with Arive Capital Markets, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Brown failed to apprise FINRA staff of his compliance with a settlement agreement or customer initiated arbitration claim. Letter No….
Richard Lyndon Brown, of Massapequa, New York, a stockbroker formerly associated with Brookstone Securities, Inc., has been subject to a customer initiated investment related arbitration claim from September 22, 2015, in which a customer was awarded $72,135.95 in damages based upon allegations that Brown breached his contractual and fiduciary duties to the customer, abused the…
John J. Santariello, of Coram, New York, a stockbroker currently registered with Arive Capital Markets, has been named in a pending customer dispute on November 10, 2014, in which the customer requested $100,000.00 in damages based upon allegations that Santariello excessively traded speculative and high-risk investments within the customer’s account, and effected unsuitable transactions which…