September 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a former stockbroker who was last registered with Bolton Global Capital , disclose a final regulatory event , 7 pending customer…
read moreApril 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 moreAugust 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a stockbroker who was previously registered with Freedom Investors Corp, disclose two regulatory events , seven customer disputes and…
read moreAugust 2017 – Shrewsbury, NJ According to publicly available records Glenn Robert King (CRD#2191091) , a former stockbroker who was last registered with Buckman, Buckman & Reid, Inc. disclose a regulatory event,…
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 moreAPRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…
read moreJuly 2017-Malaysia The FINRA records of Richard William Lunn Martin , a former stockbroker who was last employed by G.F. Investment Services, disclose a prior regulatory matter, 15 customer disputes, a current…
read moreJune 2017-Miami, FL According to publicly available records Mariva Capital Markets LLC (CRD#2296303) (“MCM”) , a Miami-based broker dealer who has been a FINRA member since 2013 disclose a recent regulatory event. The…
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