Carl Antaki of Melville New York a stockbroker formerly employed by Rockwell Global Capital LLC is the subject of a customer initiated investment related arbitration claim which settled for $8,750.00 in damages based upon allegations that (1) Antaki misrepresented the terms and conditions of over-the-counter equities investments (2) churned the customer’s investment account (3) charged…
James Robert Pecoraro, of Melville, New York, a stockbroker formerly registered with Rockwell Global Capital LLC, is the subject of a customer initiated investment related arbitration claim, which settled on July 10, 2017, for $13,500.00 in damages based upon allegations that Pecoraro breached his contractual and fiduciary obligations to the customer, and negligently traded the…
David John Lomedico, of Melville, New York, a stockbroker formerly registered with Rockwell Global Capital LLC, has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment recommendations to the customers. Letter of Acceptance,…
Douglas Joseph Guarino, of Melville, New York, a stockbroker formerly registered with Rockwell Global Capital LLC, has been named in a customer initiated investment related arbitration claim on June 25, 2015, in which the customer requested $205,000.00 in damages based upon allegations of the firm’s failure to supervise Guarino’s activities involving equity transactions effected in…
Patrick William Lofaro, of Melville, New York, a stockbroker with Rockwell Global Capital LLC, was fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in the unauthorized discretionary trading in a customer account. Letter of Acceptance, Waiver and Consent, No….
Jonothon M. Lieberman, of Farmingdale, New York, a stockbroker with Rockwell Global Capital, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he obstructed a FINRA investigation into Lieberman’s alleged sales practice violations. Letter of Acceptance, Waiver and Consent, No. Jonothon…