August 2021- Carnegie, PA According to publicly available records, Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…
read moreAugust 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…
read moreAugust 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone , a currently unregistered financial advisor who was last employed by NYLife Securities, discloses a regulatory event, …
read moreAugust 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser, a financial advisor currenlty employed by Cabot Lodge Securities, discloses a regulatory event, a bankruptcy and a…
read moreCarl Gill Investigation August 2022- Troy, MI According to publicly recorded records, Carl Damien Gill, a financial advisor who was last employed by United Planners Financial Services of America, discloses…
read moreAugust 2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered and who was last employed by Moloney Securities, Co., Inc. ,…
read moreAugust 2021- Frisco, TX According to publicly recorded records, David Ray Oakes, a financial advisor employed by Prospera Financial Services, discloses a regulatory event, and a termination from employment. The…
read moreAugust 2021- Lisle, IL According to publicly available records, Raymond Velasco, Sr., a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…
read moreAug 2021-Houston, TX The FINRA records of Lyle J. Boudreaux, a stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…
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