FINRA reported that it barred 10 former Global Arena Representatives including the former President of Global Arena Capital Corp., Barbara Desiderio, and five former representatives (David Awad a.k.a. David Bennett, James Torres, Peter Snetzko, Alex Wildermuth, and Michael Tannen) in all capacities; barred two former principals, Kevin Hagan and…
The securities fraud attorneys are interested in hearing from investors with complaints involving Dwarka Persaud. Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Persaud is a registered stock broker with Buckman, Buckman & Reid, based out of Shrewsbury, NJ. Mr. Persaud’s BrokerCheck Report indicates that…
According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. Berger has been banned from associating with a broker-dealer in the securities industry. According to the AWC, in June 2015 FINRA “initiated an investigation into allegations that Mr.…
According to a Letter of Acceptance Waiver and Consent filed with the Financial Industry Regulatory Authority (“FINRA”), Thomas Buck has been barred by FINRA from working with any FINRA member firms. Mr. Buck was a former top broker at Bank of America Merrill Lynch and was at the time a…