May 2018- Huffman, Texas According to FINRA records, Charlotte A. Guin, a former stockbroker who was last employed by J.P. Morgan Securities , disclose a prior regulatory event a termination from employment…
read moreApril 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…
read moreNovember 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) , a stockbroker who is currently suspended and who was last employed by Ameriprise Financial…
read moreJanuary 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…
read moreUPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…
read moreOctober 2017-San Antonio, TX We are currently investigating Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…
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 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 moreMay 2017-Angleton, TX The FINRA records of RIcky R. Moore, a stockbroker who is employed by Sagepoint Financial disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…
read more