William Notrica Fired by RBC Over Trading Violations
Aegis Capital broker/adviser William Notrica (CRD# 817537) was recently discharged by RBC Capital Markets over alleged rule violations. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 24, 2022, he is based in Newport Beach, California. William Notrica Violated RBC’s Internal Trading Policy RBC Capital Markets fired Mr. Notrica in January […]
Complaints Involving Justin Dieter End with Customer Settlements
Spartan Capital Securities broker Justin Dieter (CRD# 5225102) has been involved in customer disputes that cumulatively settled for hundreds of thousands of dollars. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 16, 2022, he is based at the firm’s branch office in Garden City, New York. FINRA: Complaints Settled for […]
Morgan Stanley Advisor Ryan Wroblewski Involved in $235,000 Settlement
Ryan Wroblewski (CRD #: 6158332), a broker registered with Morgan Stanley, is involved in multiple six-figure investor disputes, according to his BrokerCheck record, accessed on January 10, 2022. Settlement Involved Margin Dispute On May 8, 2020, investors alleged that Wroblewski recommended unsuitable investments and made unauthorized use of a margin account. Margin accounts allow investors […]