House Stock Pump and Dump

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Craig Scott Capital Broker Barred By FINRA

Craig Scott Taddonio of New York New York a stockbroker formerly employed by Craig Scott Capital LLC is referenced in a Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council Decision which affirms FINRA’s Hearing Panel’s barring of Taddonio in all capacities based upon (1) Taddonio failing to reasonably supervise the firm and (5) Taddonio failing […]

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Investor Sues Oppenheimer For Fraud

Robert Bruce Cline of Rochester Michigan a stockbroker formerly employed by Oppenheimer Co. Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested more than $5,000.00 in damages based upon allegations that between 2007 and 2017: (1) fiduciary obligations to the customer were breached (2) the customer’s penny […]

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Rockwell Global Capital Stockbroker Suspended For Unauthorized Trading

August 25, 2016  |   Posted by :   |   Boilerroom, House Stock Pump and Dump, Unauthorized Trading   |   0 Comments

Patrick William Lofaro, of Melville, New York, a stockbroker with Rockwell Global Capital LLC, was fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in the unauthorized discretionary trading in a customer account. Letter of Acceptance, Waiver and Consent, No. […]

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