April 2017- Palm Bay, FL The FINRA records of William B. Wyman , a former stockbroker who was employed by Royal Alliance Associates disclose a prior regulatory event, a pending customer dispute, two prior…
read moreSeptember 2017 – Frisco, Texas According to publicly available records Tye C. Williams (CRD#1271046) , a former stockbroker who was most recently employed by NEXT Financial Group , disclose a regulatory event that resulted in…
read moreMichael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH
September 2017 – Pepper Pike, OH According to publicly available records Michael J. O’Connor (CRD#5791343) , a former stockbroker who was most recently employed by Morgan Stanley , disclose a termination from employment and a…
read moreMay 2017- Dallas, TX The FINRA records of Joe L. Buckner, a former stockbroker who was last employed by Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…
read moreApril 2017- New York The FINRA records of Demitrios Hallas , a former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…
read moreApril 2017- New Canaan, CT According to publicly available records Lloyd Dotson , (CRD# 2551716) , a former stockbroker who was last employed by Commonwealth Financial Network discloses a prior regulator event, 2 prior customer…
read moreMarch 2017-Altamonte Springs, Florida According to publicly available records Eddie Basora, Jr. , (CRD# 4388378) , a former stockbroker who last worked for Merrimac Corporate Securities has been named in a complaint filed…
read moreFebruary 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) , a former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…
read moreDecember 2016-Hunt Valley, MD The FINRA records of John Scott Simpson, a stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…
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