Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott, discloses a final regulatory matter resulting in…
read moreMarianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…
read moreSuzanne Charrin Investigation April 2023-Greenwood, CO According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services, discloses a final regulatory matter resulting in a…
read moreJohn Matson Investigation April 2023- Manhattan Beach, CA According to publicly available records, John Nicholas Matson a former broker who last worked for LPL Financial, discloses a final regulatory matter resulting in…
read moreDavid Shane Simmons Investigation April 2023-Jefferson, NC According to publicly available records David Shane Simmons, a former broker who last worked for Lincoln Financial Securities Corporation , discloses a final regulatory…
read moreNickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company, discloses a final regulatory matter a…
read moreJanie Garza-Clark Investigation March 2023-Scottsdale, AZ According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management, discloses a final regulatory matter resulting in…
read moreGerardo Castillo Investigation March 2023-Miami, FL According to publicly available records Gerardo I. Castillo, a broker who currently is working with Insigneo Services and before that, Wells Fargo, discloses settlement of…
read moreEugene Cebron “Bron” Thompson Investigation March 2023– Wallace, NC According to publicly available records, Eugene “Bron” Thompson, a broker with Capital Investment Group, discloses a customer dispute related to GWG…
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