Tag Archives: Arive Capital Markets

FINRA Bars Arive Stockbroker For Failure To Pay Arbitration Award

December 07, 2020  |   Posted by :   |   Boilerroom Sales, FINRA Securities Arbitration, Investment and Regulatory News, Securities Fraud, Stockbroker Negligence   |   Comments Off on FINRA Bars Arive Stockbroker For Failure To Pay Arbitration Award

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 […]

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Arive Stockbroker Barred In Selling Away Investigation

April 23, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Municipal Bond Fraud, Selling Away and Outside Activities   |   Comments Off on Arive Stockbroker Barred In Selling Away Investigation

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 […]

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Investors Sue Arive Capital Markets For Churning

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 […]

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SEC Charges Arive Stockbroker With Fraud

January 17, 2020  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

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 […]

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FINRA Bars Arive Stockbroker In Investigation

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 […]

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FINRA Bars Arive Capital Broker From Securities Industry

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, […]

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Arive Capital Markets Stockbroker Suspended

May 18, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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. […]

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Brookstone Securities Named In Customer Securities Arbitration

December 24, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

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 […]

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Arive Capital Markets Named In Customer Arbitration Alleging Excessive Trading

November 02, 2016  |   Posted by :   |   FINRA Securities Arbitration, Securities Arbitration Claims   |   0 Comments

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 […]

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