November 2020- Houston, TX According to publicly available records, former financial advisor Grizelle E. Perez, who last worked for USCA Securities, has been barred from the securities industry by FINRA.…
read moreMay 2020-Houston, TX According to publicly available records Thomas J. Lykos, Jr. a stockbroker who was last employed by Sanders Morris Harris discloses a regulatory event and two outstanding judgment…
read moreApril 2019- New York According to FINRA records, Ronald A. Frumkes, a stockbroker who is not currently registered with any firm and who last worked for Wunderlich Securities , discloses three prior…
read moreNew York According to FINRA records, Humbert B. Powell, III , a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreNew York According to FINRA records, Benjamin G. Aibel , a stockbroker who formerly worked for Wunderlich Securities , discloses two pending customer disputes and 4 prior customer disputes that are resolved. The Financial Industry Regulatory…
read moreDecember 31, 2014-Houston, Texas Sanders Morris Harris, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…
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