Tag Archives: Pinnacle Investments LLC

Pinnacle Stockbroker Suspended By FINRA For Unsuitable Recommendations

March 07, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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KCD Financial Stockbroker Named in Unsuitable Investment Action

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 […]

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