February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121) , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…
read moreOctober 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…
read moreFebruary 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel , a stockbroker who is currently not registered and who previously was employed by Kalos Capital , disclose a currently pending…
read moreJanuary 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by Cetera Advisor Networks , disclose a pending customer dispute and a prior customer dispute. The Financial Industry…
read moreMarch 2020-Scottsdale, AZ We are investigating former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…
read moreAugust 2018-Birmingham, Michigan The FINRA records of John C. Maccoll, a stock broker who was last employed by UBS Financial Services , disclose that he was recently discharged by UBS after failing to cooperate…
read moreJune 2018-Melville, New York The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes. The Financial Industry Regulatory…
read moreMay 2018- Friendswood, TX According to FINRA records, Thomas “Tom” A. Till , a stock broker who is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…
read moreMay 2018- Otsego, MN According to FINRA records, Bradley J. Freimark , a stock broker who is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…
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