Troy Allen Orlando, a stockbroker from New York, New York, who was last associated with Craft Capital Management LLC, faced regulatory action initiated by Financial Industry Regulatory Authority (FINRA) resulting in Orlando being permanently barred from associating with any FINRA member in all capacities. The bar, effective November 20, 2024, followed Orlando’s refusal to provide…
Patrick Anthony Perugino II (also known as Pat Perugino) of New York, New York, a stockbroker formerly registered with Spartan Capital Securities LLC, has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Perugino engaged in unauthorized trading. Letter of Acceptance, Waiver,…
Steven Joel Shmulewitz, of Garden City, New York, a stockbroker with Craft Capital Management LLC, has been named in a customer initiated investment related complaint, which settled for December 21, 2016 for $30,000.00 in damages. The customer’s complaint was based upon allegations that Shmulewitz failed to execute the customer’s October 2016 stop loss orders pertaining…