Philip John Nalesnik of Pottsville Pennsylvania a stockbroker formerly registered with LPL Financial LLC has been discharged by the firm on July 8, 2018 supported by allegations that Nalesnik engaged in outside business activities in violation of LPL Financial’s policy, and failed to be forthcoming to the firm when questioned about his activities. Financial Industry…
Charles Gilbert Kunzelman of Hamden Connecticut is a stockbroker currently registered with Citizens Securities Inc. who is the subject of a customer initiated investment related written complaint on December 12 2016 where the customer sought eighty-one thousand dollars in damages based upon allegations that Kunzelman made misrepresentations to the customer concerning the costs and fees…
John Isaac Roach, of Beachwood, Ohio, a stockbroker formerly registered with CCO Investment Services Corp., 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 placed unauthorized mutual fund trades in a customer’s account. Letter of Acceptance, Waiver and…