San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…
read moreJanuary 2020-Bayville, New Jersey According to FINRA records, James F. Fosbre, IV , a stockbroker who formerly worked for United Planners Financial Services , discloses a prior final customer dispute , a termination from employment…
read moreAustin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…
read moreRed Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…
read moreDawsonville, Georgia According to FINRA records, Robert L. Rosenstein , a stock broker formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012 and 5 pending judgment/liens. He is…
read moreNew York According to FINRA records, Johnathan W. McHale , a stock broker formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreNew York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation. …
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…
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