John Michael Tinnelly of Hawthorne New York a stockbroker formerly registered with Woodstock Financial Group is referenced in a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages supported by accusations that (1) over-the-counter equities trades executed in the customer’s account were not suitable for the customer given the customer’s investment…
Ryan Michael Murnane of Staten Island New York is a stockbroker formerly registered with Woodstock Financial Group who is subject of a Notice of Proposed Agency Action and Opportunity for Hearing brought by the Office of the Commissioner of Securities and Insurance Montana State Auditor which alleged that Murnane committed securities fraud. In the Matter…
John Columbia, of Garden City, New York, a stockbroker formerly registered with Woodstock Financial Group, has been named in a customer initiated investment related arbitration claim, which settled on August 30, 2016, for $60,500.00 in damages based upon allegations that Columbia made misrepresentations to the customer, breached his contractual obligations, negligently handled the customer’s portfolio,…
Marc Neil Kalter, of Garden City, New York, a stockbroker formerly registered with Woodstock Financial Group, has been named in a customer initiated investment related arbitration claim on March 21, 2016, in which the customer requested $182,000.00 in damages based upon allegations that Kalter breached his fiduciary duty to the customer, excessively traded and churned…
Glenn McDowell, of New York, New York, a stockbroker formerly associated with National Securities Corporation, Inc., was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that McDowell effected unauthorized trades in a customer’s account. Department of Enforcement v. Glenn McDowell, No. 2013035902701 (Oct. 28, 2016). According to the Complaint, from May 24,…