John Dale Ernst of San Diego California a stockbroker formerly employed by Foresters Equity Services Inc. has been fined $5,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Ernst engaged in private securities transactions involving the sale of Woodbridge promissory notes….
Kenneth James Delacruz Jr. of East Hartford Connecticut a stockbroker formerly employed by Foresters Financial Services Inc. has been discharged on August 18, 2017 based upon accusations that Sousa concealed from the firm that he received a letter from an attorney regarding a customer who had complained about misconduct. Foresters Financial stated that Sousa failed…