April 2021- Burr Ridge, IL According to publicly available records, former Transamerica Financial Advisors, Inc. financial advisor Steven Harris, discloses two regulatory events, a termination and has been barred from the…
read moreApril 2021- Short Hills, NJ According to his FINRA record Sylvester Knox a financial advisor previously employed by FSC Securities Corporation discloses 4 regulatory events, 25 customer disputes and a…
read moreFebruary 2021 – Fort Worth, TX According to publicly available records Matthew B. Nekuza (CRD#6332114), a former stockbroker who last worked for Charles Schwab & Co. Inc., has been permanently barred…
read moreApril 2021- Phoenix, AZ According to publicly available records Christopher R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc. discloses three pending customer disputes and a termination from…
read moreDecember 2020– Bristol, TN The FINRA records of Peter David Holler , a stock broker who was last employed by Securities Service Network , disclose six final customer disputes involving the allegedly fraudulent Woodbridge…
read moreDecember 2020- Holbrook, NY According to publicly available records Jeffrey Alan Blutstein (CRD#1398688), a former stockbroker who last worked for American Portfolios Financial Services, discloses a regulatory event and a…
read moreDecember 2020-Spring, TX According to publicly available records, former Allstate Financial Services, Inc. financial advisor Charles Don Burchard has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…
read moreDecember 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) , a former stockbroker who is currently unregistered who worked for Waddell & Reed, discloses a regulatory…
read moreNovember 2020- Dallas, TX ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE According to Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial…
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