Michael Christopher Martino of New York, New York, a stockbroker currently registered with Four Points Capital Partners LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $75,000.00 in damages based upon accusations that Martino provided unsuitable investment advice by Martino from 2014 to 2017 in connection…
Blake H. Kiernan of Melville New York a stockbroker registered with Four Points Capital Partners LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon allegations that Kiernan did not comply with a FINRA Arbitration Award in which he was required to pay a customer $69,250.00…
George Anthony Nikolakakos of New York New York a stockbroker formerly registered with Four Points Capital Partners LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $543,163.00 in damages based upon accusations that Nikolakakos provided unsuitable recommendations to the customer and had caused the customer to maintain…
Michael Christopher Martino of New York New York a stockbroker currently registered with Four Points Capital Partners LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $543,163.00 in damages founded on accusations that the customer received unsuitable investment recommendations from Martino when he was associated with…
Michael Christopher Martino of New York New York a stockbroker currently employed by Four Points Capital Partners LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $107,038.00 in damages founded on accusations that the customer’s account was mishandled by Martino between 2011 and 2017 while Martino was employed…
Zachary Samuel Berkey of Melville New York a stockbroker formerly registered with Four Points Capital Partners LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisories according to an SEC Order supported by allegations that Berkey: (1) executed…
George Anthony Nikolakakos of New York New York a stockbroker registered with Four Points Capital Partners LLC is referenced in a customer initiated investment related arbitration claim which was settled for $87,500.00 in damages founded on allegations that common and preferred stock trades were effected in violation of FINRA rules and securities laws while Nikolakakos…
Daniel Terry Fischer of New York New York a stockbroker formerly employed by Four Points Capital Partners has been barred from being a stockbroker or investment adviser as well as associating with securities broker dealers or investment advisories according to a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings pursuant to Securities Exchange Act…
Zachary S. Berkey and Daniel T. Fischer, of Melville, New York, stockbrokers registered with Four Points Capital Partners LLC, were subject of a Complaint brought by the Securities and Exchange Commission containing accusations that Berkey and Fischer made unsuitable investment recommendations to customers, misrepresentations, and churned customers’ accounts. Securities and Exchange Commission v. Zachary S….
Zachary Samuel Berkey, of Melville, New York, a stockbroker formerly registered with Four Points Capital Partners LLC, has been named in The State of Montana Securities Division’s December 11, 2014 investigation into allegations that Berkey effected trades in a customer’s account on an excessive basis and made unsuitable investment recommendations to customers. Financial Industry Regulatory…
Daniel Terry Fischer, of New York, New York, a stockbroker registered with Four Points Capital Partners LLC, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in the unauthorized discretionary trading in customer accounts. Letter of Acceptance, Waiver…