Carlton Perry Fletcher, a former stockbroker from New York, New York, previously associated with Dinosaur Financial Group, L.L.C., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity. Letter of Acceptance, Waiver, and Consent (AWC) No. 2024082805201 (January 24, 2025). According to the AWC, Fletcher refused to provide documents…
David Michael Karandos of Indianapolis, Indiana, a stockbroker formerly registered with Dinosaur Financial Group LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Karandos failed to cooperate with a FINRA investigation into allegations of Karandos’ unsuitable recommendations in the account of a Dinosaur…
Michael G. Mancinelli (also known as Michael Mann), a stockbroker formerly registered with Dinosaur Financial Group LLC, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged in unauthorized trading when he was registered with Dinosaur Financial Group. Letter of…
Gerald Lee Brodsky of New York New York a stockbroker formerly registered with Dinosaur Financial Group LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $800,000.00 in damages based on accusations that the customer was placed into Concord Group Holdings through a private placement offering and that…
Gerald Lee Brodsky of New York New York a stockbroker formerly registered with Dinosaur Financial Group L.L.C. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Brodsky failed to cooperate with an investigation concerning his outside business activities. Letter of Acceptance, Waiver and Consent…
Eric Lee Sullivan of New York New York is a stockbroker formerly registered with Dinosaur Financial Group LLC who is the subject of a customer initiated investment related written complaint which settled on March 23, 2017 for $12,500.00 in damages founded on allegations that options trades had been placed in the customer’s investment portfolio without…
Philip Stainislav Rabinovich of New York, New York, a stockbroker currently associated with the Dinosaur Financial Group, L.L.C. has been disgorged of $109,695.00, fined $130,000.00, suspended from working as a broker dealer or investment advisor; and ordered by the Securities and Exchange Commission (SEC) to cease and desist violating Securities Act of 1933 Section 5(a),…