James Edmond Moniz (also known as James E. McGowan-Moniz) of West Palm Beach Florida a stockbroker formerly associated with Essex Securities LLC has been sanctioned by the Massachusetts Securities Division based in part upon findings that he has been subject of customer disputes and that he has been sanctioned by the regulator as well as…
James Edmond Moniz of Brainless, Massachusetts, a stockbroker formerly registered with Signator Investors, Inc., has become the subject of heightened supervision requirements imposed by the Secretary of State of the Commonwealth of Massachusetts, Securities Division, according to a Consent Order containing findings that Moniz accumulated nine customer complaints, FINRA rule infractions and a civil judicial…