Registered Representative, ANTHONY C. LAZARUS (CRD# 5713015) South Ozone Park, New York, had a FINRA complaint filed against him alleging that he converted approx. $27,000 from two elderly customers of his firm’s affiliated bank.
FINRA's complaint alleges that Lazarus accessed one of the customer’s bank account and charged on-line payments to be made from that account to his personal credit card account. This elderly customer did not know of or authorize these payments. Also, Lazarus had a debit card issued from the customer’s accounts at the bank without the client’s knowledge or consent. Lazarus then made unauthorized ATM withdrawals of cash from the elderly customer’s accounts. Lazarus also made unauthorized over-the-counter cash withdrawals from the elderly customer’s accounts.
According to FINRA's report, Lazarus made unauthorized funds transfers from the second elderly customer’s savings account at the bank to her checking account. The customer did not know of or authorize these payments.
Anthony Clive Lazarus was previously registered with the following FINRA firm(s):
CHASE INVESTMENT SERVICES CORP. (CRD# 25574) - SPRINGFIELD GARDENS, NY
10/2009 - 01/2012
This ends the information from FINRA.
If you feel someone you know has been taken advantage of by their broker or financial advisor, call Soreide Law Group and speak to an attorney at no cost: 888-760-6552.
TORY A DUGGINS was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The last firm Duggins was registered with was SPARTAN CAPITAL SECURITIES, LLC, of New York, New York from 02/29/2016 - 01/31/2024. According to the FINRA report dated 1/21/2026, TORY A DUGGINS was named a respondent in […]
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com