Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records Ashley Charles Woodard , a stockbroker previously employed by VOYA Financial, discloses 16 prior customer dispute…
read moreJames Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreDavid Monckton Investigation March 2022-Myrtle Beach, S. Carolina According to publicly available records David Monckton , a stockbroker who was previously registered with Voya Financial Advisors, disclose a currently pending customer disputes…
read moreRonald Metcalf, Jr. Investigation September 2021-Greenville, S. Carolina According to publicly available records Ronald F. Metcalf, Jr. , a stockbroker who was previously registered with Voya Financial Advisors, who operates Metcalf &…
read moreOctober 2020-Greenville, S. Carolina According to publicly available records Pamela Jo Lizanich (Pamela Jo Kramer) , a stockbroker who is currently registered with NY Life Securities, disclose 4 currently pending…
read moreApril 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad, a former stockbroker who was last employed by First Allied Securities, disclose a prior regulatory event and a…
read moreJanuary 2017- Longview, Texas According to publicly available records Ronald D. Henson , (CRD# 1748328) , a stockbroker who is currently employed by LaSalle St. Securities, disclose a separation from employment after allegations. The…
read moreDecember 23, 2015- Queensbury, NY The TimesUnion reports that Voya Financial is repaying former clients of Queensbury stock broker Frederick E. Monroe. Monroe, who worked out of the offices of…
read moreDecember 23, 2015- Albany, NY The Albany TimesUnion reports that Queensbury stockbroker Frederick E. Monroe pleaded guilty to money laundering and grand larceny. According to the report, Monroe was operating…
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