Boca Raton, Florida According to FINRA records, Matthew J. Ronan , a stock broker who works for ViewTrade Securities discloses a customer dispute that has been finalized and a pending regulatory investigation. The Financial…
read moreBoca Raton, Florida According to FINRA records, Alan R. Pacella , a stock broker who works for ViewTrade Securities discloses a regulatory matter that has been finalized , a customer dispute that has been finalized…
read morePlano, Texas According to FINRA records, Robert M. Kuhn , a stock broker who worked for UBS Financial Services from 9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute and…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla , a stock broker who has…
read moreOdessa, Texas According to FINRA records, Noe Garcia, Sr. , a former investment company products and variable contracts representative for State Farm VP Management from 5/2007-11/2015 discloses that he was sanctioned by FINRA for failing to amend…
read moreLittle Rock, Arkansas According to FINRA records, Danny M. Thomas , a broker who worked for State Farm VP Management from 8/2003-9/2015 discloses that he was permanently barred from the securities industry in May 2016. The…
read moreHurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities (4/2008-1/2016) in Hurst, Texas, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…
read moreInvestors suffering losses on oil and gas investments purchased from PTX Securities of Plano, Texas, may be able to recover damages through FINRA arbitration. PTX Securities (fka Balanced FInancial Securities)…
read morePlano Texas- April 2016 PTX Securities LLC (formerly Balanced Financial Securities) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…
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