Kevin Klickna Investigation June 2023-Rochester, IL According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…
read moreLeo Chien Investigation March, 2023 – San Gabriel, CA The FINRA records of Leo Li-Yuan Chien a broker currently employed by Cetera Investment Services , disclose 2 pending and 2 priorcustomer disputes.…
read moreKyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren, a stock broker previously employed by NYLife Securities, disclose 2 regulatory events and a termination from employment. The…
read moreDavid Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…
read moreYES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…
read moreMicheal Sloan Investigation May 2022- St. Charles, IL According to FINRA records, Michael Peter Sloan, a Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreLyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…
read moreGeorge M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of George M. Warner , a former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…
read moreJason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…
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