February 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…
read moreMarch 2018- Charlotte, N. Carolina The FINRA records of Joseph L. Cotter , a stockbroker who is currently not registered and who was last employed by Petersen Investments disclose a recent regulatory matter resulting…
read moreMarch 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) , a stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith, disclose that he…
read moreNovember 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) , a stockbroker who is currently suspended and who was last employed by Ameriprise Financial…
read moreFebruary 2018-Palmer, Massachusetts Kimberly Pine Kitts was recently discharged from Royal Alliance Associates where she had been employed since 4/2004 after receiving notice from a customer’s attorney alleging conversion or misappropriation…
read moreAugust 2018-Louisville, KY Christopher Lee Hibbard was recently discharged from Merrill Lynch where he had been employed since 7/2010. In April 2018 the US Attorney’s office for the Western District…
read moreFebruary 2018-West Palm Beach, FL The FINRA records of William Bruckner , a stockbroker who is not currently registered with any broker dealer and who was last employed by Woodstock Financial Group disclose a regulatory…
read moreFebruary 2018-Woodcliff Lake, NY & Delray Beach, FL According to The Ridgewood Blog and other local press, Jeffrey Palish, DOB 2/23/1953 of 22 Oakwood Drive, Woodcliff Lake, New Jersey was arrested…
read moreFebruary 2018-Oklahoma City, OK According to publicly available records Jay D. Jordan , (CRD# 1776666) , a former stockbroker who last worked for WFG Investments discloses that he was recently permanently barred from the securities…
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