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Stock broker Rocco Roveccio of Redbank, New Jersey is involved in legal disputes with at least two customers who allege that he engaged in unauthorized and excessive trading in their accounts. The customers are seeking more than $1.5 million in damages. Roveccio is currently registered with the brokerage firm First…
Stock broker Rafi Golan of the brokerage firm Crystal Bay Securities in Delray Beach, Florida is the subject of three regulatory investigations and is involved in two customer disputes relating to alleged sales-practice violations. Based on disclosures on FINRA’s Brokercheck website, it appears that the accusations against Golan relate to…
Stock broker and investment advisor Charles Kenahan of the brokerage firm Merrill Lynch in Boston, Massachusetts is involved in legal disputes with at least three customers who allege that he recommended unsuitable investments and engaged in excessive trading (also known as “churning”) in their accounts. Suitability Stock brokers have a duty to…
Massachusetts securities regulators have initiated regulatory action against stock broker Peter Cunningham of Stockcross Financial Services in Beverly Hills, California in connection with allegations that he committed sales practice violations relating to Unit Investment Trusts (UITs). According to FINRA’s Brokercheck website, Cunningham engaged in unsuitable short-term UIT trading and made…