February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) , a former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…
read moreAugust 2016-Frisco, Texas The FINRA records of Michael B. Inderlied , a stock broker who is currently not licensed and who was last employed by Adirondack Trading Group disclose a prior regulatory event, 2 prior customer…
read moreAugust 2016-Orlando / The Villages, Florida The FINRA records of George Sefanou , a stock broker who is currently employed by Edward Jones , disclose a recently settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreJuly 2016-Newport News, VA The FINRA records of Steve D. Heath , a stock broker who is currently employed by Capitol Securities Management , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…
read moreJuly 2016-Pell City, Alabama The FINRA records of Joseph C. Alexander , a stock broker who is currently employed by Sterne Agee Financial Services, disclose a currently pending customer dispute and a prior finalized customer…
read moreFebruary 11, 2016 According to the Financial Times, the worst performing US Mutual Funds of 2015 are : Name …
read moreJanuary 6, 2016- Stuart, Florida Jeffrey Davidson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American Portfolio…
read moreDecember 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…
read moreAugust 4,2015 Ronald J. Benevento of Holbrook, NY, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…
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