December 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned Bruce Russell Clark (CRD# 2848753) of Longview, Texas, reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…
read moreNew York UPDATE JUNE 2017–Michael Guilfoyle is not currently registered He left employment at Four Points Capital Partners in 3/2017. ORIGINAL POST 2/2017 Publicly available records of Michael N. Guilfoyle, (CRD#…
read moreJanuary 2016-San Angelo, Texas OCTOBER 2017 UPDATE-Bill Holubec is no no longer registered as a broker with Royal Alliance as of 5/2017. See this for more information. Publicly available records of Bill…
read moreNovember 2016-Highland Park, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…
read moreJanuary 2017- Dallas, Texas According to publicly available records Daniel W. Staudacher , (CRD# 2878221) , a stockbroker who is currently employed by PFS Investments, disclose a recent FINRA regulatory action resulting in a…
read moreAugust 2019 Update-Gregory Dean was barred from the securities industry for churning customer accounts. See this for more details. MAY 2018 UPDATE–See this for update on pending customer disputes. ORIGINAL…
read moreJanuary 2017-Old Lyme, Connecticut The Day, an online news service covering a 20 town region in eastern Connecticut reports that John W. Rafal, 66, of Old Lyme, founder and former…
read moreJanuary 2017 The U.S. Securities and Exchange Commission (SEC) issued an Investor Alert to help investors identify excessive trading in their brokerage accounts. The SEC suggests that investors look for…
read moreFebruary 2017- Oak Brook, Illinois According to publicly available records Matthew Christopher Maczko , (CRD# 1888519) , a former stockbroker who was last employed by Wells Fargo Advisors, LLC, discloses that FINRA has permanently…
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