June 2018- Plano, TX The FINRA records of Michael S. Christians , a stock broker who is not currently registered and who was last employed by Morgan Stanley , disclose a currently pending regulatory event,…
read moreJanuary 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…
read moreMay 2018-Newton, PA According to FINRA records, Bruce Thomas Brolle , a stockbroker who is not currently registered with any broker dealer, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreApril 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…
read moreJanuary 2019- Edmond, Oklahoma The FINRA records of David Kyle Ridenour , a stockbroker who is currently employed by Wells Fargo Clearing Services , disclose three prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreMarch 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…
read moreRichard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL
March 2018- Daytona Beach, Florida The FINRA records of Richard Alan Shotz , a stockbroker who was last employed by Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…
read moreNovember 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) , a stockbroker who is currently suspended and who was last employed by Ameriprise Financial…
read moreJANUARY 2018-Houston, TX According to publicly available records Charles Albert Dixon Jr. , a former stockbroker with Morgan Stanley was barred by FINRA from acting as a broker or otherwise associating…
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