Warren Marc Rockmacher, of Trumbull, Connecticut, a stockbroker formerly registered with Investacorp, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to cooperate in a FINRA investigation by declining to provide FINRA with information requested of him. Case No. 2015044980801 […]
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Tag Archives: Banc of America Investment Services Inc.
Investacorp Stockbroker Barred By Regulator
May 30, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims | 0 Comments
Morgan Stanley Sued In Arbitration For Unsuitability
March 16, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims | 0 Comments
Steven Rocco Colli, of Morristown, New Jersey, a stockbroker currently registered with Morgan Stanley, has been named in a customer initiated investment related written complaint on February 16, 2017, based upon allegations that Colli, from 2014 to 2017, utilized the customer’s margin without authorization to effect options and equity transactions. Financial Industry Regulatory Authority (FINRA) […]
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