November 2020- Spring, TX According to publicly available records Charles Don Burchard , a former stockbroker who last worked for Allstate Financial Services , discloses that he was recently permanently…
read moreOctober 2020- Hollywood, FL According to publicly available records. Stefan Anton Pastor, (CRD#5141819), a former stockbroker who last worked for Raymond James Financial Services, Inc., discloses a regulatory event, 2…
read moreOctober 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc., financial advisor Edward Earl Matthes , discloses 5 regulatory events, a civil event, 15 prior…
read moreOctober 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a former stockbroker who last worked for Thrivent Investment, Inc., discloses a regulatory event and a termination from…
read moreJune 2020- Waltham, MA The FINRA records of Gerald Allan Eaton , a former stock broker who was last employed by Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…
read moreJune 2020- New York, NY According to publicly available records Jovannie Aquino (CRD#4876661), a former stockbroker who last worked for Spartan Capital Securities, discloses a regulatory event, a civil event,…
read moreApril 2020- Houston, TX The FINRA records of Jesse O. McGuire, a broker previously employed by J.P. Morgan Chase Bank, disclose a regulatory event resulting in his bar from the securities…
read moreApril 2020-Dallas, TX According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) , a former stockbroker who last worked for Raymond James & Associates, Inc. discloses a regulatory event…
read moreApril 2020- Westlake, TX The FINRA records of Ernie Garcia, a broker previously employed by Fidelity Brokerage Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…
read more