Paul Robert DiPietro of Boca Raton, Florida, a stockbroker formerly registered with Dawson James Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $20,000.00 in damages based upon allegations of unsuitable investment recommendations of over-the-counter equities during the time that DiPietro was employed by Dawson…
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…
Paul Robert DiPietro of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages based upon accusations of a breach of contract and breach of fiduciary duty by the stockbroker during the period…
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…
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…