February 2018-San Antonio, Texas According to publicly available records Guy C. Conger , (CRD# 2280420) , a stockbroker who last worked for Money Concepts Capital, discloses that he was recently suspended for six months and…
read moreMarch 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…
read moreSeptember 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…
read moreUPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…
read moreJune 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…
read moreJanuary 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…
read moreJanuary 2018-The Woodlands, Texas We are investigating former Oppenheimer & Co. stockbroker David W. Krumrey who was recently discharged by Oppenheimer for attempting to settle a customer complaint without informing the firm.…
read moreDecember 2017-Brockton, MA According to FINRA records Joeann M. Walker, (CRD# 2210194) , a stockbroker who formerly worked for NEXT Financial Group and LPL FInancial was barred from the securities industry for failing…
read moreNovember 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…
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