Tag Archives: Scotia Capital (USA) Inc.

FINRA Charges Scotia Capital Broker With Obstruction

June 30, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Sean William Killoran of New York New York a stockbroker formerly registered with Scotia Capital (USA) Inc. has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Killoran failed to cooperate with FINRA personnel during FINRA’s investigation into his potential mismarking of securities transactions. Department of Enforcement v. Sean William Killoran […]

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Scotia Capital Stockbroker Barred In Investigation

July 03, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Thomas Aloysius Skove, of New York, New York, a stockbroker formerly registered with Scotia Capital (USA) Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in an investigation into allegations that he effected fraudulent securities transactions in […]

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