Tag Archives: Gilford Securities Incorporated

Gilford Securities Named In Customer Arbitration Alleging Unsuitability

November 30, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Casey J. Alexander, of New York, New York, a stockbroker formerly registered with Gilford Securities Incorporated, has been subject to a customer initiated investment related arbitration claim on December 2, 2014, which was settled for $50,000.00 in damages based upon allegations that Alexander, as a control person for Gilford Securities, was liable for the wrongful […]

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Gilford Securities Stockbroker Named In Customer Arbiotration Claim

Samuel D. Wyman, Jr., of Westhampton Beach, New York, a stockbroker with Gilford Securities Incorporated, is subject to a pending customer dispute from August 14, 2015, in which the customer requested $175,000.00 in damages after alleging that Wyman made unsuitable investment recommendations. FINRA Public Disclosure records reveal that Wyman has been previously subject to customer […]

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Gilford Securities Broker Suspended For Selling Away

Robert Kevin Connors, of New York, New York, a stockbroker with Gilford Securities Incorporated, was fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized private securities transactions or selling away and unauthorized borrowing from a […]

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