JANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…
read moreOCTOBER 2017 James V. Marino , a former stockbroker in Pompano Beach, FL, who was last employed by Edward Jones , was recently barred permanently from the securities industry by FINRA. …
read moreJuly 2021 UPDATE According to FINRA records, Marc A. Reda , a broker who is currently employed by Spartan Capital Securities, discloses a pending regulatory matter, a prior regulatory matter, a…
read moreUPDATE March 2019–Aldo Marchena, who is not currently registered with any broker dealer, was recently permanently barred from the securities industry in Florida. He discloses four customer disputes on his…
read moreOctober 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…
read moreApril 2018-Plano, TX The FINRA records of William W. Marshall , a stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…
read moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read more