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Securities America

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose settlement of customer disputes. The…

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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA

Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA 150 150 ER

Kimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc.  discloses a regulatory event on her FINRA record. The…

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Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX

Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX 150 150 Rex Securities Law

Annetta Marie Box Investigation August 2022- Dallas, TX  The FINRA records of  Annetta Marie Box ,  a former broker with Cambridge Investment Research Advisors,  disclose a recent bar from the securities…

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William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX

William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX 150 150 ER

William Frank Richardson Investigation   September 2022-Houston, TX The FINRA records of  William “Frank” Richardson, Jr. ,  a stock broker with Avantax Investment Services,  disclose 6 prior customer disputes. The Financial…

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Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ

Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ 150 150 ER

Dale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger,  a broker who last worked for  DMK Advisor Group and prior to that Securities America, …

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David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH

David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH 150 150 Rex Securities Law

July 2021- Independence, OH According to publicly available records David Zuber (CRD#3239595), a  former stockbroker who last worked for Securities America, Inc.,  has been permanently barred from FINRA. The Financial…

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Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX

Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX 150 150 Rex Securities Law

April 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely. The Financial Industry Regulatory…

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Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY 150 150 Rex Securities Law

May 2018-New City, New York Local press is reporting that Rockland/Orange County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing…

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RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Rex Securities Law

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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