May 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research financial advisor Anselmo Contreras, Jr. discloses a recent regulatory event resulting in his bar from the…
read moreApril 2019 – Kingwood, TX According to publicly available records Phillip Andrew Johnson (CRD# 501352) , a former stockbroker who was last employed by D.H. Hills Securities, disclose 4 regulatory events, 2…
read moreOctober 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr. , a former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…
read moreMarch 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…
read moreApril 2017-Dallas, Texas The FINRA records of Marcos Yanez , a former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…
read moreMarch 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) , a currently unregistered stockbroker who previously worked for Edward Jones disclose a pending regulatory matter, a pending customer dispute and…
read moreAugust 2016- Buffalo, New York The FINRA records of Raymond T. Clark, a former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…
read moreAugust 2016- Columbia, South Carolina September 2017 UPDATE-A FINRA arbitration panel in Columbia, South Carolina awarded two former clients of Christopher Thomas Tolmacs $1.2 million in compensatory damages and $300,000 in…
read moreEl Paso, Texas According to FINRA records, Miguel A. Hernandez , a broker who was formerly registered with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…
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