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,…
Barry Michael Kiront of Garden City New York a stockbroker formerly registered with Woodstock Financial Group Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested $699,000.00 in damages supported by allegations that (1) the customer’s investment transactions were executed in a negligent fashion (2) the customer’s contract with…
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…
Barry M. Kiront, of Garden City, New York, a stockbroker formerly associated with Woodstock Financial Group, Inc., has been named in a customer initiated investment related arbitration action on March 20, 2015, based upon allegations against Kiront including unauthorized trading, unsuitability, churning, breach of contract, breach of fiduciary duty, misrepresentation, negligence, and unjust enrichment. The…