Tobin Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…
read moreOctober 2019- Cut Off, LA According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…
read moreMarch 2018-Paradise Valley, AZ The FINRA records of Michael J. Blake , a stockbroker who is currently unregistered and who last was employed by Mid Atlantic Capital Corp. disclose 2 prior regulatory…
read moreApril 2017-Paradise Valley, AZ The FINRA records of Michael J. Blake , a stockbroker who is currently unregistered and who last was employed by Mid Atlantic Capital Corp. disclose a prior regulatory…
read moreJanuary 2017-West Palm Beach, FL According to publicly available records Thomas B. Carreras (CRD# 1815164) , a stockbroker currently employed by Ameritas Investment Corp. , discloses a pending customer dispute. The Financial Industry…
read moreJanuary 2017-Lincoln, NE According to publicly available records John S. Bixby, a stockbroker currently employed by Drexel Hamilton, discloses a separation from employment after allegations and two finalized customer disputes. The Financial…
read moreAugust 2016- Lincoln, NE The FINRA records of Larry D. Freie , a stock broker who is currently employed by Ameritas Investment Corp. disclose a prior customer dispute and one currently pending customer dispute. The Financial Industry…
read moreAugust 2016- Simsbury, CT The FINRA records of Peter B. Cohen , a stock broker who is currently employed by Ameritas Investment Corp. disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
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