#Arive Capital Markets investigation

[rexsecuritieslaw]

Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes - Coram, NY

Mirso Muharemovic Investigation June 2023-Coram, NY According to publicly available records Mirso Muharemovic, a former Arive Capital Markets broker discloses a final regulatory matter and three prior customer disputes.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to…

[rexsecuritieslaw]

Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY

Efthimios (Tim) Petrou Investigation September  2022 – Ronkonkoma, NY According to publicly attained records,  Efthimios (Tim) Petrou, a stockbroker who was last employed by Arive Capital Markets ,  discloses a recent regulatory sanctioned resulting from a finding by FINRA that he excessively traded a customer account. The Financial Industry Regulatory Authority (FINRA) is the agency that…

[rexsecuritieslaw]

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial ,  discloses 2 prior regulatory matters, 2 prior customer disputes and 3 pending judgements/liens. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

[rexsecuritieslaw]

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging Churning - Iselin, NJ

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging Churning – Iselin, NJ

August 2017 -Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) ,  a  currently unregistered stockbroker who was last registered with Arive Capital Markets , disclose 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to…

[rexsecuritieslaw]

John J. Santariello-Arive Capital Markets Broker-Discloses Customer Complaint Alleging Speculative Trading

John J. Santariello-Arive Capital Markets Broker-Discloses Customer Complaint Alleging Speculative Trading

August 2016- Coram, NY

The FINRA records of John J. Santariello ,  a  stock broker who is currently  employed by Arive Capital Markets  disclose  a currently pending customer dispute and a prior financial event.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…

[rexsecuritieslaw]

John J. Santariello-Arive Capital Markets Broker-Discloses Customer Complaint Alleging Speculative Trading

John J. Santariello-Arive Capital Markets Broker-Discloses Customer Complaint Alleging Speculative Trading

August 2016- Coram, NY The FINRA records of John J. Santariello ,  a  stock broker who is currently  employed by Arive Capital Markets  disclose  a currently pending customer dispute and a prior financial event. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…

[rexsecuritieslaw]

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

May 2016-Farmingdale, New York

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

[rexsecuritieslaw]

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

May 2016-Farmingdale, New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and…