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Articles Tagged with salomon whitney

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that former New York-based Salomon Whitney Financial broker Wayne Ford has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ford (CRD# 2763527). Wayne […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 28, 2016 indicate that former New York-based Salomon Whitney Financial broker Shawn Burns has received numerous customer complaints and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Burns (CRD# […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that New York-based Salomon Whitney Financial broker Douglas Leone is the subject of several customer complaints and a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Current Salomon Whitney Financial broker, Douglas A. Leone, has been named in a FINRA Enforcement complaint. In that complaint, the customer alleges that Mr. Leone alleges he excessively traded and churned customer’s accounts.

Current Salomon Whitney and former Cape Securities broker, Shawn Evan Burns has two customer complaints pending arbitration with the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck Report.

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