Tag Archives: Cape Securities Inc.

Investors Accuse First Allied Of Unauthorized Trading

December 22, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Investors Accuse First Allied Of Unauthorized Trading

Kevin Kimball Meadows of Liverpool New York a stockbroker formerly registered with First Allied Securities and Cape Securities is referenced in a customer initiated investment related written complaint on April 30, 2020 where the customer requested $168,000.00 in damages based upon allegations that transactions executed in the First Allied Securities customer’s account were not suitable […]

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FINRA Sanctions Cape Securities Stockbroker For Churning Elder Customer’s Account

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 […]

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Cape Stockbroker Barred For Failure To Pay Arbitration Award

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 […]

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Cape Securities Broker Barred For Failure To Pay Award

July 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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) […]

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Cape Securities Stockbroker Suspended For Unauthorized Trading

April 20, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

David Khezri, of Holbrook, New York, a stockbroker formerly registered with Cape Securities, Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2015044589701 (Sept. […]

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Salomon Whitney Sued by Customer In FINRA Arbitration

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 […]

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