Filters

Ex-officer with Woodbury Brokerage Firm Indicted in Fraudulent Investment Scheme, Feds Say

05.22.2015
Robert I. Rabinowitz

By Robert E. Kessler and Gary Dymski  A Seaford man, formerly the chief compliance officer at a Woodbury  brokerage firm, conspired to defraud investors of more than $500,000, federal prosecutors said Thursday. William Michael Quigley, ex-chief compliance officer of Trident Partners, a registered broker-dealer, is charged in a two-count indictment […]

Areas of Focus: Corporate, Broker-Dealer & Regulatory Proceedings