JUNE 2017 Wells Fargo Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to report,…
read moreJune 2017- Austin, TX According to publicly available records John J. Gorman IV (CRD#1070636) , a stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events, 2…
read moreAlpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…
read moreSeptember 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) , a former stockbroker who last worked for Concorde Investment Services , has numerous disclosures: 1 prior regulatory events 8…
read moreMay 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreMay 2017- Sparta, NJ According to publicly available records V. Cullen Kempson III (CRD#1280887) , a stockbroker currently registered with American Portfolios Financial Services, Inc discloses a prior regulatory event and a termination from employment. The…
read moreJune 2017-Somonauk, IL According to publicly available records Michael A. Jump (CRD#1146669) , a stockbroker currently registered with Chelsea Financial Services discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…
read moreJune 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson, a stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…
read moreThe FINRA records of Anthony J. Verzi , a stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…
read more