Leslie George Markus Jr., of Center Valley, Pennsylvania, a stockbroker currently registered with Lincoln Investment, is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation, which has been initiated on November 16, 2016, concerning Markus’ possible unauthorized trading in violation of FINRA Rule 2010; inaccurate entries in the firm’s records and books in violation…
James Joseph Bracey IV, of Martinsville, New Jersey, a stockbroker formerly registered with Multi-Financial Securities Corporation, is the subject of a customer initiated investment related arbitration claim on July 16, 2015, in which the customer requested $803,000.00 in damages based upon allegations against Bracey of negligence, violation of California Securities Law, fraudulent concealment, misrepresentation, and…