September 2019 – Perham, MN CAPITAL FINANCIAL SERVICES CLOSING DOWN FIRM–see this for more information about the closing down of the firm and transfer of accounts to Calton & Associates. …
read moreFebruary 2019 – Calabasas, CA According to publicly available records John William Spach (CRD#2731192) , a previously registered stockbroker who was last employed by Kestra Investment Services, LLC disclose a recent regulatory sanction, a…
read moreFebruary 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) , a stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a pending…
read moreFebruary 2019 – Amarillo, Texas According to public records of Cheryl Ann Stallings (formerly Cheryl Ann Bledsoe) (CRD#1162913) a former stockbroker with LPL Financial, discloses a regulatory event and a termination from…
read moreJuly 2021– Follow this link for update on Daniel Dillard. February 2019 – Austin, TX According to publicly available records Daniel Dillard (CRD#4289333) , a stockbroker who is currently registered with Sagepoint…
read moreFebruary 2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459) a stockbroker previously employed by BCG Securities, Inc., discloses a regulatory event, a civil event, 3 customer…
read moreFebruary 2019 – Collinsville, IL According to public records, Jay R. Weiser (CRD#1511042) a former stockbroker who was previously employed by Despain Financial Corporation, discloses a regulatory event, a pending customer dispute and…
read moreJanuary 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) , a previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…
read moreOctober 2019- Cut Off, LA According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…
read more