Christopher B. Kennedy (CRD#: 4498061) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc; Spartan Capital Securities, LLC; Financial West Group (FINRA Expelled this firm); Multi-Financial Securities Corporation; and RBC Dain Rauscher Inc.   Allegations of Misconduct According […]

Martin Valade (Marty) (CRD#: 1532673) is a registered broker at Woodbury Financial Services, Inc., in Cypress, CA. Broker’s Background Mary Valade entered the securities industry in 1986, and has previously worked at Dean Witter Reynolds, Inc. Current Allegations of Misconduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

FINRA recently issued a sanction against Network 1 Financial Securities, Inc. and supervisor Michael Molinaro after it was alleged that Network 1 and Michael Molinaro, “did not establish, maintain, and enforce a supervisory system.” Network 1 Financial Securities, Inc., has been a FINRA member since 1983. The company’s main office is in Red Bank, NJ […]

Timothy Farris (CRD#: 2178521) is a registered broker and investment adviser at Cetera Advisors LLC in West Bloomfield, MI. Broker’s Background Timothy Farris entered the securities industry in 1991 and previously for SPC; Sigma Financial Corporation; Ameriprise Financial Services, Inc.; Ameriprise Advisor Services, Inc.; Pruco Securities Corporation; and the Prudential Insurance Company of America. Current […]

Jason Pintus (CRD#: 5239408) is a previously registered Broker. Broker’s Background He entered the securities industry in 2009 and previously worked for Monmouth Capital Management, LLC; MML Investors Services, LLC; and Legend Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Lon Faccini, Jr. (CRD#: 2736849) is a previously registered Broker. Broker’s Background He entered the securities industry in 1996 and previously worked for Arive Capital Markets; Cape Securities, Inc.; Liberty Partners Financial Services, LLC; J.W. Cole Financial, Inc.; J.P. Turner & Co., LLC; LH Ross & Co., Inc.; Continental Broker-Dealer Corp.; Gunnallen Financial, Inc.; Seaboard […]

Kumail (Ken) Abbas (CRD#: 5722935) is a registered Broker at Network 1 Financial Securities, Inc., in Hauppauge, NY. Broker’s Background He entered the securities industry in 2009 and previously worked for Laidlaw & Company (UK) Ltd.; Cape Securities, Inc.; C.K. Cooper & Co., Inc.; EKN Financial Services, Inc.; ITradeDirect.com Corp.; and Liberty Partners Financial Services. […]

Leonid Yurovsky (CRD#: 4554905) is a registered Broker at Joseph Stone Capital, LLC in Mineola, NY. Broker’s Background He entered the securities industry in 2002 and previously worked for PHX Financial, Inc.; National Securities Corporation; John Thomas Financial; Laidlaw & Company (UK) LTD.; Gunnallen Financial, Inc.; J.P. Turner & Company, LLC; LaSalle St. Securities, LLC; […]

Mirsad Muharemovic (CRD#: 3122589) is a previously registered Broker. Broker’s Background He entered the securities industry in 1998 and previously worked for Arrive Capital Markets; Cape Securities, Inc.; J.P. Turner & Company, LLC; American Express Financial Advisors, Inc.; IDS Life Insurance Company; Newbridge Securities Corporation; Milestone Financial Services, Inc.; Seaboard Securities, Inc.; and Gilford Securities, […]

Daniel Mackle, Sr. (CRD#: 2239531) was previously registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1992 and previously worked for MD Global Partners, LLC; Garden State Securities, Inc.; J.P. Turner & Company, LLC; Barron Chase Securities, Inc.; Worthington Capital Group, Inc.; Investors Associates, Inc.; M.S. Farrell & Company, […]