William Richard Berkowitz of Pittsburg Pennsylvania a stockbroker currently registered with BPU Investment Management Inc. is the subject of a customer initiated investment related written complaint on January 9, 2017 where the customer sought $6,100.00 in damages based upon accusations that (1) Berkowitz executed the liquidation of the customer’s accounts without the customer’s permission and…
Nadav Nachum Baum, of Pittsburgh, PA, a stockbroker formerly registered with BPU Investment Management, Inc., is the subject of a Cease and Desist sanction and $6,000.00 fine imposed by the New Jersey Bureau of Securities by consenting to findings that he violated the terms of his heightened supervision arrangement. In the Matter of: Nadav Nachum…