May 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…
read moreMay 2017-Great Falls, VA The FINRA records of Frederick P. Baerenz, a stockbroker who is currently registered with Kalos Capital disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…
read moreMay 2017-Plymouth, MI The FINRA records of Curtis L. Whipple, a stockbroker who is currently registered with Kalos Capital disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from…
read moreApril 2017- Simi Valley, CA The FINRA records of Steven H. Murphy, a stockbroker who is currently employed by Summit Brokerage Services and was previously employed by VSR Financial Services, disclose a pending customer dispute and…
read moreMay 2017-Garland, TX The FINRA records of Steven Earle Blanke , a stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…
read moreApril 2017-Williamsburg, VA The FINRA records of Terrell Calvin Lady , a stockbroker who is currently employed by DFPG Investments disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreApril 2017-Manchester, NH The FINRA records of Frank Charles Scarito , a stockbroker who is currently employed by Berthel, Fisher & Co. disclose a prior final customer dispute that was resolved with a cash…
read moreApril 2017-Plano, TX The FINRA records of Leslie R. Rosenblatt , a stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…
read moreApril 2017-Orlando, FL The FINRA records of Rebecca H. True , a stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read more