April 2018- El Paso, Texas According to FINRA records, Jose M. Canales , a currently unregistered broker who last worked for Lincoln Financial Securities Corp. , discloses a prior final regulatory event, a…
read moreApril 2018- New York According to FINRA records, Florence M. Simeon , who is currently employed by Sunstreet Securities, discloses that on April 27, 2016, she was ‘permitted to resign’ from Alexander Capital.…
read moreApril 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…
read moreRichard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY
January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed by NEXT Financial Group , disclose that he was barred by securities regulators, a recent…
read moreMarch 2018- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a stockbroker who is currently employed by United Planners Financial Services of America , disclose a prior final customer dispute, a recent…
read moreMarch 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…
read moreMason Gann Investigation September 2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…
read moreMarch 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…
read moreMARCH 2018 UPDATE–Mark Kaplan was permanently barred from the securities industry by FINRA and , without admitting or denying them, agreed to entry of the following findings: Kaplan exercised de…
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