Tag Archives: Lampert Capital Markets Inc.

Lampert Capital Responsible For Investment Losses

October 04, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Vincent Joseph Marra of New York New York a stockbroker formerly registered with Lampert Capital Markets Inc. is referenced in a customer initiated investment related written complaint on September 22, 2015 where the customer sought $23,000.00 in damages based upon allegations that Marra was responsible for the customer’s unwarranted investment losses on stock and over-the-counter […]

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Lampert Broker Fined For Outside Business Activities

William Patrick Slattery of New York New York is a stockbroker formerly registered with Lampert Capital Markets Inc. who has been fined $12,500.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he took part in outside business activities that […]

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Lampert Capital Markets Sued Unsuitable Investments

July 29, 2017  |   Posted by :   |   Churning, Excessive Trading   |   0 Comments

Thomas Daniel Sullivan, of New York, New York, a stockbroker formerly registered with Lampert Capital Markets Inc., is the subject of a customer initiated investment related arbitration claim on June 16, 2017, in which the customer requested $11,069.00 in damages based upon allegations that Sullivan effected equities transactions on an excessive and unsuitable basis. Financial […]

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