Leonard Joseph Marzocco (also known as Lenny Marzocco and Len Marzocco) of Nesconset New York a stockbroker formerly registered with Woodstock Financial Group has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Marzocco made unsuitable recommendations to a…
Alfonse Joseph Stazzone Jr of Holmdel New Jersey a stockbroker formerly registered with Woodstock Financial Group 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 findings that Stazzone made unsuitable and excessive trades in a customer’s account when Stazzone was…
Maxim Beliakov of Red Bank New Jersey a stockbroker formerly registered with Woodstock Financial Group has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unsuitable and excessive trading in a Woodstock Financial Group customer’s account….
Hugues Guirand of Virginia Beach Virginia a stockbroker formerly registered with Woodstock Financial Group Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by a FINRA Office of Hearing Officers Default Decision containing findings that Guirand did not cooperate with FINRA in an investigation relating to…
Hugues Guirand of Virginia Beach Virginia a stockbroker formerly registered with Woodstock Financial Group has been charged by Financial Industry Regulatory Authority (FINRA) with failing to cooperate with its investigation into accusations of his solicitation of real estate investment trusts while he was associated with Woodstock Financial Group. Department of Enforcement v. Hugues Guirand Disciplinary…
Leonard Joseph Marzocco (also known as Lenny Marzocco and as Len Marzocco) of Garden City New York a stockbroker formerly registered with First Standard Financial Company has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of the stockbroker making unsuitable trades in the accounts of…
Dennis James Murphy of Red Bank New Jersey a stockbroker formerly employed by Woodstock Financial Group has been identified in a customer initiated investment related arbitration claim where the customer sought $21,982.00 in damages founded on accusations of the customer being defrauded on over-the-counter equities trades effected by Murphy when he was associated with Woodstock…
Joseph Louis Derrico of Staten Island New York a stockbroker formerly employed by Woodstock Financial Group has been fined $5,000.00 and required to pay $101,324.39 in restitution according to a State of Montana Securities Division Order based on accusations of (1) excessive and unauthorized equity trades being effected by Derrico in accounts of Woodstock Financial…
Michel Rene Lavelanet (also known as Michael Rene Lavelanet) of Garden City New York a stockbroker formerly employed by Woodstock Financial Group Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $699,000.00 in damages based upon accusations that (1) the customer’s account was mishandled by Lavelanet (2) contractual obligations…
William Sidney Friedman of Boca Raton Florida a stockbroker formerly registered with Newbridge Securities Corporation is referenced in a customer initiated investment related arbitration claim which settled for $10,000.00 in damages supported by accusations that Friedman (1) engaged in inappropriate equity trading in the customer’s account (2) breached his fiduciary duties to the customer (3)…
Blake H. Kiernan, 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, in which the customer requested $200,000.00 in damages based upon allegations of breach of contract, unsuitability, breach of fiduciary duty, fraud, unauthorized trading, churning, and excessive trading…
Olori Dennis Hamilton, of New York, New York, a stockbroker formerly registered with Woodstock Financial Group, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Hamilton did not provide FINRA personnel with information concerning his compliance with a settlement or arbitration award pertaining…
Ryan Michael Murnane, of Staten Island, New York, a stockbroker formerly registered with Woodstock Financial Group, Inc., was named in an investigation by the State of Montana Securities Department on February 1, 2017, in which Muranne’s conduct is under review for allegedly contacting a customer numerous times to solicit investment related business despite Murnane not…
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…
Peter M. Alomar, of Garden City, New York, a stockbroker formerly registered with Woodstock Financial Group, Inc., has been subject to a customer initiated investment related arbitration claim from January 28, 2016, in which the customer requested $293,924.00 in damages based upon allegations that Alomar effected unsuitable investment transactions in the customer’s account, and breached…
John Tinnelly, of Hawthorne, New York, a stockbroker currently registered with Woodstock Financial Group, Inc., has been named in a customer initiated investment related arbitration action on April 15, 2015, in which the customer requested $60,500.00 in damages based upon allegations that Tinnelly made misrepresentations to the customer concerning investments, breached his contractual obligations, negligently…