February 2018-West Palm Beach, FL The FINRA records of William Bruckner , a stockbroker who is not currently registered with any broker dealer and who was last employed by Woodstock Financial Group disclose a regulatory…
read moreOctober 2017 – Jacksonville, FL According to publicly available records William H. Merriam IV, (CRD#5222110) , a former stockbroker who was last employed by Merrill Lynch , disclose a prior regulatory event and a termination…
read moreJune 2017 – Atlanta, GA The FINRA records of Todd D. Ryman , a stockbroker previously employed with Raymond James & Associates, Inc. disclose a prior regulatory matter and 6 customer disputes. The…
read moreSeptember 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) , a former stockbroker who last worked for Concorde Investment Services , has numerous disclosures: 1 prior regulatory events 8…
read moreMAY 2018 UPDATE-FINRA arbitration 15-3230 discussed below was settled 3/2018 for $35,000. Original PostJune 2017- Lubbock, Texas According to publicly available records Sherry Elaine McNair (CRD#3162832) , a stockbroker who currently is…
read moreJune 2017- New York According to publicly available records Joao-Miguel Calil (CRD#4351530) , a stockbroker who is not currently employed, discloses a termination from employment with Merrill Lynch. The Financial Industry Regulatory Authority…
read moreJune 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson, a stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…
read moreApril 2017-West Palm Beach, FL The FINRA records of William Bruckner , a stockbroker who is currently registered with Woodstock Financial Group disclose a regulatory event and a recent termination from employment. The Financial…
read moreApril 2017- San Antonio, Texas The FINRA records of German Ricardo Mora , a former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…
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