Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records, Greg A. Caldwell, a stockbroker who is currently employed by Caldwell International…
read moreSan Antonio, Texas According to FINRA records, Lennie S. Freiman, a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm, discloses a pending regulatory investigation and…
read moreStaten Island, New York According to FINRA records, Frank D. Marinelli, a stockbroker who currently works for Southeast Investments, discloses two pending customer disputes, a termination, two pending judgment/liens and two final customer…
read moreMAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…
read morePlano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below, was settled for…
read moreThe Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below, was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…
read moreJune 2016—-Beaumont, Texas According to FINRA records, Terry W. Chilton , a stockbroker who formerly was employed by IMS Securities. discloses a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…
read moreHouston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico, sought damages of $17 million From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…
read morePlano, Texas According to FINRA records, Robert M. Kuhn , a stock broker who worked for UBS Financial Services from 9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute and…
read more