John Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo , a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…
read moreEdmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy, a broker previously registered with Robert W. Baird & Co., discloses a final…
read moreMark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor, a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird, disclose a regulatory…
read moreJune 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) , a stockbroker who is currently not registered discloses a regulatory event and 2 settled customer disputes .…
read moreOctober 16, 2015- Portland, Oregon James G. Christianson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…
read morePatrick L. Garrett , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…
read moreAugust 4, 2015 Patrick Landon Garrett, of Franklin, TN , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…
read moreJune 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…
read more