Tag Archives: Trident Partners Ltd.

FINRA Fines Maxim Group Broker For Misconduct

Eric Howard Kunis of Woodbury New York a stockbroker formerly registered with Maxim Group LLC has been fined $2,500.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Kunis executed unsuitable trading in eleven Maxim Group LLC customer accounts. Letter of Acceptance […]

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Customer Sues Trident Partners For Stock Suitability

James Gerard Sparacino of Woodbury New Jersey is a stockbroker currently registered with Trident Partners Ltd. who is the subject of a customer initiated investment related arbitration claim where the customer sought $40,489.00 in damages supported by accusations that stock transactions were placed in the customer’s account that were not suitable for the customer. Financial […]

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Trident Partners Sanctioned For Failure to Supervise

July 29, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Trident Partners, Ltd., a brokerage firm located in Woodbury, New York, was censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise its staff, and authorized its registered representatives to make recommendations that were not suitable for customers. Letter of Acceptance, Waiver and Consent, […]

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Woodstock Financial Group Sued by Customer For Fraud

John Columbia, of Garden City, New York, a stockbroker formerly registered with Woodstock Financial Group, Inc., has been named in a customer initiated investment related arbitration claim, which settled on April 15, 2015, for $167,383.05 in damages based upon allegations that Columbia made misrepresentations to the customer, breached his contractual duties, negligently handled the customer’s […]

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Trident Partners Sued by Customers for Unsuitability

Timothy V. Longo, of Woodbury, New York, a stockbroker formerly with Trident Partners Ltd., is the subject of a pending customer dispute in which the customer has requested in damages based upon the allegation that Longo engaged in unauthorized and unsuitable trading in the customer’s account. FINRA BrokerCheck reveals that Longo has been previously subject […]

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