Robert Spaulding Gleason Jr., of Boston, Massachusetts, a stockbroker registered with Cantella Co. Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Gleason engaged in excessive trading during the time that he was associated with Cantella Co. Inc. Letter of…
Clinton F. Byrd, of Tallahassee, Florida, a stockbroker registered with Cantella Co. Inc., has been discharged by the securities broker dealer on May 28, 2021, based upon allegations that Byrd failed to disclose certain outside business activities. On January 9, 2023, Byrd was suspended by FINRA for the undisclosed sale of promissory notes. Department of…
James Ernest Joly of East Greenwich Rhode Island a stockbroker currently registered with Cantella Co. Inc. is the subject of a customer initiated investment related complaint on April 21, 2020 where the customer sought $13,000.00 in damages supported by allegations of Joly causing an inappropriate asset transfer into an annuity. Joly has been identified in…
David Thomas Pawloski of Red Bank New Jersey a stockbroker currently registered with Cantella Co. Inc. is the subject of a customer initiated investment related written complaint on April 9, 2020 in which the customer requested $16,000.00 in damages based upon allegations of the customer being sold poorly performing stocks by Pawloski during the period…
David Hugh Bindelglass of Paramus New Jersey a stockbroker formerly employed by Morgan Stanley is the subject of a customer initiated investment related complaint which was resolved for $100,000.00 in damages on January 10, 2019 founded on accusations that unsuitable municipal debt trades had been effected in the customer’s account during the time that Bindelglass…
Donald Edward Teboe of Clinton Michigan a stockbroker formerly employed by Cantella Co. Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Teboe refused to cooperate with FINRA personnel during a time that he was under investigation for effecting unsuitable trades in accounts…
Robert William Griffin of Poetry Texas a stockbroker formerly employed by Cantella Co. Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to provide FINRA with information that had been requested of him. FINRA Public Disclosure confirms that Griffin had been…
David Hugh Bindelglass of Paramus New Jersey is a stockbroker formerly registered with Morgan Stanley who has been fired on December 20, 2017 founded on accusations that Bindelglass executed unauthorized transactions in customer accounts and made unsuitable investment recommendations to a customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bindelglass has been referenced…
Peter Chris Marketos, of Paramus, New Jersey, a stockbroker formerly registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related written complaint on March 2, 2017, in which the customer requested more than $5,000.00 in damages based upon allegations that Marketos, from October of 2014 to February of 2016,…