January 2018-Las Cruces, NM The FINRA records of Jeffrey Randolph Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a currently pending customer dispute over energy investments , a…
read moreTimothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
November 2017-New Orleans, LA According to FINRA records, without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker, entered into an agreement with FINRA to resolve allegations that…
read moreDecember 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…
read moreMichael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH
September 2017 – Pepper Pike, OH According to publicly available records Michael J. O’Connor (CRD#5791343) , a former stockbroker who was most recently employed by Morgan Stanley , disclose a termination from employment and a…
read moreJuly 2017-Malaysia The FINRA records of Richard William Lunn Martin , a former stockbroker who was last employed by G.F. Investment Services, disclose a prior regulatory matter, 15 customer disputes, a current…
read moreThe FINRA records of Anthony J. Verzi , a stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…
read moreMay 2017-Las Cruces, NM The FINRA records of Jeffrey R. Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…
read moreMay 2017-Southlake, TX The FINRA records of Patrick D. Combs , a stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…
read moreMay 2017-Hauppauge, NY According to publicly available records Vincent P. Afflixio, Jr. , (CRD#1043147 ) , a stockbroker who is currently registered with Morgan Stanley discloses a pending customer dispute. The Financial Industry Regulatory Authority…
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