Kevin Kimball Meadows of Columbus Georgia a stockbroker formerly employed by Cape Securities Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Meadows executed unsuitable and excessively traded or churned the account of an elderly Cape Securities customer. Letter of Acceptance Waiver and…
Christopher John Calandrino (also known as Chris Calandrino) of Coram New York a stockbroker formerly registered with Cape Securities Inc. has been suspended on March 19, 2018 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Calandrino failed to comply with his obligations to pay a customer…
Robert M. Marks Jr. of Coram New York a stockbroker formerly employed by Cape Securities Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to inform FINRA about his compliance (or lack thereof) with FINRA Arbitration No. 13-00215 (Feb. 6, 2017)…
What does the Whitney Bank or JC Whitney have to do with Salomon Brothers or Salomon Smith Barney? What does a Salomon or a Whitney have to do with Johnny Prinzivalli from Long Island? Nothing. But Salomon Whitney Financial is a brokerage firm with a fancy sounding name located lovely Farmingdale, New York, and founded by a…