Ronald Bucher of Fort Myers, Florida, a stockbroker registered with Pinnacle Investments LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Bucher refused to cooperate in an investigation concerning his interactions with customers. Letter of Acceptance, Waiver, and Consent No. 2022073421201 (December 17, 2023). According to…
Ronald L. Bucher (also known as Ron Bucher), of Fort Myers, Florida, a stockbroker associated with Pinnacle Investments LLC, was the subject of a customer initiated investment related complaint in which the customer requested $77,772.32 in damages. The customer claimed that Bucher engaged in unauthorized and unsuitable trading in stocks and equities. This complaint was…
William Sidney Friedman (also known as Bill Friedman and as Willie Friedman), of Boca Raton, Florida, a stockbroker formerly registered with Pinnacle Investments LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that he failed to respond to FINRA’s inquiry regarding an unpaid arbitration…
Ami Kathryn Forte of Palm Harbor Florida is a stockbroker formerly registered with Morgan Stanley who is the subject of a Financial Industry Regulatory Authority (FINRA) Wells Notice in which FINRA has determined that disciplinary action should be brought against Forte for possibly committing violations of FINRA Rules 2010 and National Association of Securities Dealers…
Caroline Faye Korn of Rochester New York is a stockbroker registered with Pinnacle Investments LLC who has been disgorged of seven thousand three hundred dollars in commissions and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she effected unauthorized transactions…
Mark A. Stanczyk, of Manlius, New York, a stockbroker fomerly associated with Pinnacle Investments, is subject to a pending customer dispute from February 1, 2016, in which the customer has requested $490,000.00 in damages in connection with allegations against Stanczyk of making unsuitable investment recommendations and trades in the customer’s account. Disclosure records reveal that…
George P. Koulouris, of Manilus, New York, a stockbroker registered with KCD Financial, Inc., is subject to a pending customer dispute from August 10, 2015, in which a customer alleged that purchases made via Manilus in private placement investments were not suitable for the customer. Public disclosure records also reveal that Koulouris has been subject…