Tag Archives: Brian Joseph Panfil

Ridgeway Conger Stockbroker Barred For Fraud

Brian Joseph Panfil of New Woodstock New York a stockbroker formerly registered with Ridgeway & Conger Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Default Decision containing findings that Panfil executed unauthorized trades in the customer’s account and placed […]

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Ridgeway Conger Broker Charged With Unsuitable Recommendations

November 28, 2017  |   Posted by :   |   Forgery, Unauthorized Trading   |   0 Comments

Brian Joseph Panfil of New Woodstock, New York, a stockbroker formerly registered with Ridgeway & Conger, Inc., has been charged by Financial Industry Regulatory Authority Department of Enforcement in a Complaint alleging that he effected unsuitable trades in customer accounts, forged signatures of customers on account documentation, and placed trades without authorization. Department of Enforcement […]

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