Brian Joseph Panfil of New Woodstock New York a stockbroker formerly registered with Ridgeway & Conger Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Default Decision containing findings that Panfil executed unauthorized trades in the customer’s account and placed […]
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Tag Archives: Ridgeway & Conger Inc.
Ridgeway Conger Stockbroker Barred For Fraud
April 18, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments
Ridgeway and Conger and Chief Executive Officer Charged with Fraud
February 12, 2016 | Posted by : Guiliano Law Group | Excessive Markups, Investment and Regulatory News, Unregistered Securities | 0 Comments
Ridgeway & Conger, Inc., stockbrokers Kenley Brisard and Philip Brisard, and the firm’s president Leigh Garber, all located in Woodstock, New York, were charged by the Financial Industry Regulatory Authority (FINRA ) in a nine count Complaint containing allegations of fraudulent misrepresentations and omissions of material fact in connection with customer purchases (Kenley and Philip […]
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