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https://www.ripoffreport.com/reports/cold-spring-advisory-group/syossett-new-york/cold-spring-advisory-group-louis-ottimo-michelle-ottimo-cold-spring-harbor-ekn-financi-1271083
Nov 29, 2016 · THATS RIGHT !!! THE SAME GUY, LOUIS OTTIMO who STOLE your money at EKN Financial is now trying to take your money again! If YOU Lost money with EKN Financial contact a REAL ATTORNEY, SUE LOUIS OTTIMO who is living it up and laughing all the way to the bank.
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https://www.stopbrokerfraud.com/news/jeffrey-glazer/
Oct 19, 2015 · Two of Mr. Glazer’s former employers, EKN Financial Services and Capital Growth Financial, have since been expelled by the Financial Industry Regulatory Authority (FINRA). Mr. Glazer is a registered broker in 47 US states and territories.
https://www.frankowskifirm.com/laidlaw-broker-facing-complaints/
Of his former employers, four have since been expelled by FINRA: EKN Financial Services, New Castle Financial Services, Empire Financial Group, and Ehrenkrantz King Nussbaum. According to FINRA’s BrokerCheck report on the former Laidlaw broker, Wares has had eight customer complaints filed against him as well as one that is pending.
https://www.investorlawyers.com/blog/ekn_financial_services_fined_a_1/
Oct 09, 2007 · The NASD imposed a $200,000 fine against EKN Financial Services Inc. and levied sanctions against the firm’s CEO, President, Head Trader and Financial and Operations Principal for improper short selling in connection with three unregistered PIPE securities offerings.
https://www.finra.org/sites/default/files/fda_documents/2008011665801_FDA_KMX25265.pdf
A. EKN Financial Services, Inc. EKN has been a member of FINRA since November 27, 2001. As of September 19, 2012, the date Respondents submitted the Offer of Settlement, the Firm employed 41 registered representatives and maintained one office location, …
https://www.complaintsboard.com/cold-spring-advisory-group-csag-jennifer-tarr-investment-loss-recovery-c820350
I also found misconducts, complaints, and claims against Louis Ottimo and his family members (Anthony Ottimo and Louis Ottimo Sr.), as well as Cold Spring Advisory itself, and former companies they (Louis Ottimo and family) were involved with — such as EKN Financial Services Inc., Wheatley, Second Market Fund, and JetOne Jets.
https://www.stopbrokerfraud.com/news/bruce-stark/
According to his BrokerCheck report, Bruce Stark is the subject of two pending customer complaints and one tax lien. In August 2015 a customer alleged Bruce Stark, while employed at Obsidian Financial Group, engaged in churning, executed excessive trades, made unauthorized transactions, and recommended unsuitable investments. The customer is ...
https://www.wealthminder.com/financial-advisors-hauppauge-NY/William-Baker/356626/
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Phone: (516) 931-1090
https://www.securitieslawattorneys.net/adam-sclafini/
Nov 18, 2015 · According to records provided by the Financial Industry Regulatory Authority (FINRA), former New York-based Rockwell Global Capital broker Adam Sclafani is currently not licensed to practice as a broker or an investment adviser.
http://www.mondovisione.com/media-and-resources/news/nasd-fines-ekn-financial-services-suspends-principals-for-securities-registratio/
NASD has imposed a $200,000 fine against EKN Financial Services Inc. of Woodbury, NY - along with CEO Anthony Ottimo, President Thomas Giugliano, Head Trader William Baker and Financial and Operations Principal Michael Benvenuto - for engaging in improper short selling in connection with three unregistered securities offerings, commonly referred to as PIPE (Private Investment in Public Equity ...
https://www.securitieslawattorneys.net/ahmad-wares/
Jul 24, 2017 · According to his BrokerCheck report, he has received eight customer complaints and one pending customer complaint. In 2015 a customer alleged Ahmad Wares, while employed at EKN Financial Services, misrepresented material facts, executed excessive trades, acted negligently, and breached his fiduciary duty. The customer is seeking $288,340 in ...
https://investorlawyers.org/john-angelone-alleged-violations-of-the-securities-act/
Dec 13, 2018 · John Angelone was a registered representative and financial advisor with Olympus Securities in New ... and with EKN Financial Services, Inc. in Woodbury, NY from October 2, 2009 until March 22, 2010, FINRA notes. EKN was expelled by FINRA on October 12, 2012, FINRA reports. ... there has not been a finding of liability as to the complaints ...Location: 8 Tower Bridge, Suite 1025, 161 Washington, St, Conshohocken, 19428, PA
https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions-online
You can conduct a search for FINRA disciplinary actions that were issued 2005 or later – and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate ...
https://www.ripoffreport.com/reports/specific_search/cold-spring-advisory-group
Hiding negative complaints is only a Band-Aid. Consumers want to see how a business took care of business. ... EKN Financial Services Fraud, Illegal Activity, Professional Scam ,Steal Your Money, Disbarred, Criminal, Identity Theft Syossett New York . Brokerage Companies: Cold Spring Advisory Group Syossett, New York. 2, Report #1325617 . Aug ...
https://seekingalpha.com/instablog/5396101-robert-w-pearce/4928710-need-information-westpark-capital-broker-lawrence-j-fawcett-jr
Oct 28, 2016 · We Need Information About Westpark Capital Broker Lawrence J. Fawcett Jr. ... and customer complaints, against the firm and broker. ... EKN Financial Services Inc., …Author: Robert W Pearce
https://www.securitieslawyersblog.com/churning-claims-against-rockwell-global-broker-michael-capolongo/
Sep 23, 2015 · Since 2009 Capolongo has been registered with John Thomas Financial, New Castle Financial Services LLC, EKN Financial Services Inc., National Securities Corporation, and Laidlaw & Company (UK) LTD. Since September 2014, Capolongo has been associated with Rockwell Global Capital LLC out of their Melville, New York office.
https://www.investmentnews.com/independent-broker-dealer-a-magnet-for-brokers-from-troubled-firms-58087
Jul 17, 2014 · Several IAA Financial brokers came from broker-dealers such as John Thomas Financial Inc. or EKN Financial Services Inc., both of which were …
https://www.securitieslawyersblog.com/investors-file-churning-complaints-broker-joel-benanti/
Mar 23, 2016 · From February 2009 until October 2012, Benanti was associated with EKN Financial Services Inc. From October 2012 until February 2016, Benanti was registered with Laidlaw & Company (UK) Ltd. Finally, since February 2016 Benanti has been associated with First Standard Financial Company LLC out of the firm’s Melville, New York office location.
https://files.brokercheck.finra.org/individual/individual_2959624.pdf
10/2010 - 10/2012 ekn financial services inc. 113525 melville, ny 04/2008 - 02/2009 first midwest securities, inc. 21786 melville, ny 08/2007 - 04/2008 new castle financial services llc 102380 melville, ny 11/2005 - 08/2007 empire financial group, inc. 28759 uniondale, ny 01/2002 - 12/2005 ehrenkrantz king nussbaum, inc. 113525 melville, ny
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