April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 2 pending…
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 moreMay 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…
read moreFebruary 2017-Greenville, South Carolina According to publicly available records Jack Charles Bixler , (CRD# 22331) , a stockbroker who is currently employed by Sandlapper Securities, discloses a pending regulatory matter. The Financial…
read moreFebruary 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) , a stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…
read moreFebruary 2017-New York According to publicly available records William F. White , (CRD# 2168943) , a stockbroker who is employed by Primex, discloses a pending FINRA investigation and the settlement of a customer dispute.…
read moreDennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
February 2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…
read moreFebruary 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) , a former stockbroker who was last employed by BAC Florida Investments, disclose a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…
read moreNovember 2016-Boca Raton, FL According to publicly available records Nicolaas P. Pronk , (CRD# 1726101) , a stockbroker who is employed by Noble Capital Markets, disclose a pending regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…
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