Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for J.W. Cole Financial, discloses a final…
read moreJoseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…
read moreRobert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered broker who formerly worked for Avantax Investment Services, discloses a 2 customer…
read moreSean Storm Boswick Investigation June 2023-New York, NY The FINRA records of Sean “Storm” Boswick, a former stock broker who was last employed in the industry by Brock Securities , disclose…
read moreCrescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…
read moreLuis Paredes Calvo Investigation June 2023-San Juan, PR According to publicly available records Luis Paredes Calvo, Insigneo Services (aka Citi International Financial Services) broker, discloses a pending $5 million customer…
read moreVictor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of Victor A. Rigoni III , a broker previously with Summit Brokerage Services, disclose a FINRA suspension, 5 prior customer…
read moreDimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…
read moreKevin D. Houser Investigation June 2023- Allen Town, PA The FINRA records of Kevin D. Houser , a stockbroker employed by Ameriprise Financial Services, disclose several customer disputes . The Financial…
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