Tag Archives: Michael James Resciniti

FINRA Bars Spartan Stockbroker In Investigation

September 13, 2019  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Michael James Resciniti of Spartan Capital Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Resciniti was unresponsive to a FINRA inquiry. Case No. 2018058707101 (Nov. 19, 2018). According to FINRA Public Disclosure, Resciniti’s non-cooperation had been met with a suspension by […]

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Laidlaw Broker Suspended For Unauthorized Trading

November 28, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Michael James Resciniti of Melville, New York, a stockbroker formerly registered with Laidlaw & Company (UK) Ltd., has been suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he executed trades in customer accounts without their permission. Letter of Acceptance, Waiver and […]

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