Tag Archives: Woodstock Financial Group Inc.

FINRA Charges Woodstock Stockbroker With Obstruction

May 15, 2021  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs, Unsuitable Investment Recommendations   |   Comments Off on FINRA Charges Woodstock Stockbroker With Obstruction

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 […]

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Another First Standard Stockbroker Bites The Dust

July 11, 2020  |   Posted by :   |   Boilerroom Sales, Securities Arbitration Claims   |   Comments Off on Another First Standard Stockbroker Bites The Dust

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 […]

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Investors Sue Woodstock Financial Group For Fraud

April 08, 2020  |   Posted by :   |   Boilerroom Sales, Excessive Trading, Margin Account Fraud, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue Woodstock Financial Group For Fraud

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 […]

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Woodstock Stockbroker Sanctioned For Churning

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 […]

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Investors Sue Woodstock Financial For Securities Fraud

Barry Michael Kiront of Garden City New York a stockbroker formerly registered with Woodstock Financial Group Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested $699,000.00 in damages supported by allegations that (1) the customer’s investment transactions were executed in a negligent fashion (2) the customer’s contract with […]

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Woodstock Financial Sued By Investors For Fraud

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 […]

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Investors Sue Woodstock Financial Group For Fraud

Stephen Mark Kiront of Garden City New York a stockbroker formerly employed by Woodstock Financial Group Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested damages estimated at $100,000.00 founded on accusations including (1) negligent unjust enrichment (2) breach of contract (3) suitability (4) breach of fiduciary duty […]

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Newbridge Sued By Investor For Breach Of Fiduciary Duty

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) […]

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Customer Sues Woodstock Financial For Fraud

November 01, 2017  |   Posted by :   |   Boilerroom Sales   |   0 Comments

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 […]

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Woodstock Financial Group Stockbroker Suspended

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 […]

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Woodstock Financial Group Stockbroker Under Investigation

March 08, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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 […]

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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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Woodstock Financial Group Named In Customer Securities Arbitration

December 23, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

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 […]

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Woodstock Financial Group Named In Customer Arbitration Claims

November 29, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

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 […]

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Woodstock Financial Group Sued by Customer For Churning

November 02, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Barry M. Kiront, of Garden City, New York, a stockbroker formerly associated with Woodstock Financial Group, Inc., has been named in a customer initiated investment related arbitration action on March 20, 2015, based upon allegations against Kiront including unauthorized trading, unsuitability, churning, breach of contract, breach of fiduciary duty, misrepresentation, negligence, and unjust enrichment. The […]

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