Jorge A. Sonville Investigation April 2022- Miami, FL The FINRA records of Jorge Sonville, a broker with Insigneo Securities who formerly worked for Merrill Lynch, disclose a pending customer dispute and…
read moreAriel Rivero Investigation April 2023 -Miami, Florida, USA /Buenos Aires, Argentina We are investigating former Jefferies LLC financial advisor Ariel A. Rivero on behalf of a client residing in Buenos…
read moreJohn Rochester Investigation November 2021- Santa Fe, NM According to publicly available records, John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…
read moreBrad Brooks Investigation November 2021- Addison, Texas The FINRA records of Brad C. Brooks , a broker who is employed by Titan Securities disclose a currently pending regulatory investigation, 6 prior final customer…
read moreDerrick Trussell Tom Carter Investment Program Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell, a former stockbroker who last worked for PFS Investments Inc. (Primerica) discloses a regulatory…
read moreTimothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records, Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…
read moreDouglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered and who was last…
read moreSeptember 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…
read moreSeptember 2021- Houston, TX According to his FINRA record Jason H. Poff , a financial advisor employed by Allstate Financial Services discloses a final regulatory investigation resulting in suspension and…
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