MAY 2018 UPDATE–Craig Sutherland discloses additional customer arbitration filings and a recent FINRA sanction. See this for more. ORIGINAL POST-July 2016- Columbus, OH The FINRA records of Craig A. Sutherland , a stock broker…
read moreJuly 2020- Farmington, MO The FINRA records of Ray G. Reese , a stock broker currently employed by Money Concepts Capital Corp , disclose 2 pending and 3 prior final customer disputes. The Financial Industry Regulatory Authority…
read moreJuly 2016- John Creek, Georgia The FINRA records of Gary L. Glover , a stock broker currently employed by Concorde Investment Services, disclose a prior final customer dispute, 2 pending customer disputes, a prior final financial event…
read moreCampbell, CA According to FINRA records, Barry W. Lemay , a stockbroker who formerly worked for VSR Financial Services discloses 9 final customer disputes and one pending customer dispute. The Financial Industry Regulatory Authority…
read moreJuly 2016- Troy, Michigan The FINRA records of Matthew T. Flynn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration, a prior final financial disclosure and a prior termination. The…
read moreJuly 5, 2016-New York A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Garden State Securities, based in Red Bank, New Jersey, to pay an elderly customer over $142,000 to…
read moreJericho, New York According to FINRA records, Philip Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…
read moreManilus, New York According to FINRA records, Mark A. Stanczyk , a stockbroker who currently works for Leigh Baldwin & Co. discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreNew York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…
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