Philip Connors is a stockbroker with Worden Capital Management LLC (“Worden Capital Management”) in New York, New York. Mr. Connors has a history of customer disputes and a past association with a disreputable brokerage firm that has been expelled by FINRA. If you have lost money with broker Philip Connors…
FINRA has suspended financial advisor Jamie I. Sanchez Rivera (CRD #6013022) from the securities industry for five months and fined him $10,000. Jamie I. Sanchez Rivera was a stockbroker at First Southern, LLC in Guaynabo, Puerto Rico, from April 2017 until May 2020. First Southern, LLC fired Mr. Sanchez Rivera…
FINRA has sanctioned Coastal Equities, Inc. for its failure to reasonably supervise a stockbroker who recommended excessive and unsuitable trades in the accounts of customers. Coastal Equities, Inc. was censured and ordered to pay $270,320 in restitution to clients, plus $9,589 in interest. FINRA alleged that between October 2016 and…