April 2017-Arlington, Texas The FINRA records of Christopher P. Anthony, a stockbroker who is not currently registered and who was last employed by Rhodes Securities, Inc. disclose 2 currently pending customer disputes and a discharge…
read moreApril 2017-Clear Lake, IA The FINRA records of Thomas W. Bodensteiner , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute over an investment in United Development…
read moreApril 2017-Shawnee, KS The FINRA records of Daniel C. Stewart , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreApril 2017- Melville, NY According to publicly available records Christopher A. Knutson , (CRD# 2997006) , a stockbroker who is currently registered with Aegis Capital Corp. discloses settlement of a customer dispute. The Financial Industry Regulatory…
read moreFebruary 2019- Garden City, NY According to publicly available records Jeffrey L. Offen , (CRD# 2893980) , a stockbroker who is not currently employed as a stockbroker and who was last employed by Craft Capital…
read moreApril 2017- Hoboken, New Jersey According to publicly available records James L. Powers , (CRD# 1793348) , a currently unregistered stockbroker who was last registered with IFS Securities discloses a pending regulatory event. The Financial Industry Regulatory…
read moreMARCH 2018 UPDATE–Gary E. Morse left Celadon Financial Group 8/2017 and is currently registered with Precision Securities. His FINRA records disclose currently outstanding liens owed to the Internal Revenue Service…
read moreApril 2017- Grapevine, TX According to publicly available records Kristopher F. Etter , (CRD# 4562123) , a stockbroker who is currently registered with IMS Securities discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreApril 2017 – Houston, TX According to publicly available records Nghi Thanh Ho, (CRD#2327672) , a stockbroker who is currently registered with IMS Securities discloses one pending customer dispute and a separation from employment. The Financial Industry…
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