Ronald Metcalf, Jr. Investigation September 2021-Greenville, S. Carolina According to publicly available records Ronald F. Metcalf, Jr. , a stockbroker who was previously registered with Voya Financial Advisors, who operates Metcalf &…
read moreJuly 2021- Boca Raton, FL We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and…
read moreJuly 2021-San Jose, CA According to publicly available records. Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc., discloses 1 pending and 4 prior customer disputes. The Financial…
read moreNovember 2020- Pittsburg, PA According to publicly available records Keith Thomas Lohm, Sr. (CRD#1516728), a former stockbroker who last worked for Citizens Securities, Inc., discloses a termination from employment. The…
read moreApril 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) , a former stockbroker who last worked for Securities America, Inc., was recently suspended indefinitely. The Financial Industry Regulatory…
read moreJanuary 2020- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by Cetera Advisors, disclose a pending customer dispute and 3 prior customer disputes . The Financial Industry Regulatory…
read moreJanuary 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by Centaurus Financial, Inc., disclose 2 pending customer disputes. The Financial Industry Regulatory…
read moreJanuary 2020- Fresno, CA The FINRA records of Kendall J. Groom , a broker previously employed by Independent Financial Group , disclose a regulatory event resulting in his bar from the securities industry. The Financial Industry…
read moreJanuary 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by Cetera Advisor Networks , disclose a pending customer dispute and a prior customer dispute. The Financial Industry…
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