December 2016 Wells Fargo was censured and fined $1,000,000 by the Financial Industry Regulatory Authority over its lack of supervision related to the preparation and dissemination of consolidated reports showing…
read moreDecember 2016-Davie, FL The FINRA records of Mark B. Beloyan, a stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…
read moreSeptember 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…
read moreUPDATE February 2017– Lizabeth Beth Ty, also known as Lizabeth Gotuaco Ty discloses that another customer of Park Avenue Securities has filed a FINRA arbitration (case #17-429) alleging damages of…
read moreNovember 2016-Mesa, AZ The FINRA records of Dominic T. DeBruin, a former stockbroker with LPL Financial, disclose that he has been permanently barred from acting as a broker or otherwise associating with…
read moreNovember 2016-Watertown, New York The FINRA records of Stanley C. Niekras, a stockbroker who was formerly employed by Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…
read moreNovember 2016- Dallas, Texas The FINRA records of Jesse B. Shelmire, IV, a stockbroker who is currently employed by Stonegate Capital Markets, Inc. disclose 2 prior regulatory events that are final, a pending investigation and…
read moreNovember 2016-Arlington, Texas The FINRA records of Peyton N. Jackson, a stockbroker who is not currently registered and who was last employed by Alexander Capital, LP. disclose a recent regulatory matter that is final, 7…
read moreOctober 2016-Ft. Lauderdale, Florida The FINRA records of Ian C. Kass, a former stockbroker who was last employed by Wilson-Davis & Co. discloses a recent employment separation after allegations. In September 2016, the U.S. Attorney’s Office…
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