August 2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered and who was last employed by Moloney Securities, Co., Inc. ,…
read moreMay 2018- Friendswood, TX According to FINRA records, Thomas “Tom” A. Till , a stock broker who is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…
read moreMay 2018- Otsego, MN According to FINRA records, Bradley J. Freimark , a stock broker who is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…
read moreMarch 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) , a stockbroker who is employed by Summit Brokerage Services, disclose 2 prior regulatory events, 2 pending customer…
read moreJune 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen (CRD#5189815) , a stockbroker who currently is employed by D.H. Hill Securities, discloses a termination from employment. The Financial Industry…
read moreUPDATE MARCH 2017-In April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016. Smith currently discloses a total of 13 prior customer…
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