William Savary of Gig Harbor, Washington, a stockbroker registered with Abraham Securities Corporation and previously with Spencer-Winston Securities Corporation, has been fined $5,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Savary engaged in unauthorized trading. Letter of Acceptance, Waiver, and Consent No. 2022074468401…
Ezri Shechter (also known as Eddie Shechter) of Jersey City New Jersey a stockbroker currently registered with Spencer Winston Securities Corporation has been fined $12,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that (1) Shechter executed unauthorized transactions in customer accounts…
Vincent Michael Bruno of New York New York a stockbroker currently employed by Spencer Winston Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought damages estimated to exceed $5,000.00 based upon allegations of (1) negligence (2) breach of contract and (3) breach of fiduciary duty pertaining to…
James Benjamin Fellus, of New York, New York, a stockbroker formerly registered with Spencer-Winston Securities Corporation, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to communicate with FINRA about his compliance with a customer initiated investment related settlement arrangement or arbitration…