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FINRA Arbitration Panel Orders Morgan Stanley to Pay $519K for Client Losses Timothy J. Prouty A couple from New Mexico claiming that a Morgan Stanley financial advisor, Timothy J. Prouty,
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FINRA Rogue Broker Rule

As part of its crackdown on rogue brokers, the Financial Industry Regulatory Authority Inc. has identified 61 firms that would face restrictions under a newly proposed FINRA rule. https://www.investmentnews.com/article/20190515/FREE/190519952/finra-rogue-broker-rule-would-affect-61-firms
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Christhian Palacios of Garden State Securities Subject to Two Customer Complaints

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Christhian Palacios (Palacios) has been subject to two customer complaints and four tax liens during the course
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Scott Mass of David Lerner Associates has been subject to five customer complaints

According to BrokerCheck records financial advisor Scott Mass (Mass), currently employed by David Lerner Associates, Inc. (David Lerner) has been subject to five customer complaints.  According to records kept by
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