October 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…
read moreApril 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…
read moreAugust 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…
read moreSeptember 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…
read moreFOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million. September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney Montgomery…
read moreJune 2017- Hunt Valley, MD According to publicly available records John Scott Simpson (CRD#719367) , a former stockbroker who was last employed by RBC Capital Markets, discloses one regulatory event, a currently pending…
read moreMay 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick (CRD#4522610) , a stockbroker currently not registered, but who was previously registered with Texas Securities, Inc., discloses a pending regulatory…
read moreMay 2017- El Segundo, CA The FINRA records of Hemant Kathuria , a stockbroker who is currently employed by Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…
read moreMay 2017-Houston, TX The FINRA records of John Carolyn, a stockbroker who is employed by UBS Financial Services disclose 5 pending customer disputes involving oil and gas securities and one prior customer dispute. The Financial Industry…
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