Margaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation discloses a pending customer dispute.…
read moreRichard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services, discloses a settled customer dispute and a pending customer…
read moreDavid Monckton Investigation March 2022-Myrtle Beach, S. Carolina According to publicly available records David Monckton , a stockbroker who was previously registered with Voya Financial Advisors, disclose a currently pending customer disputes…
read moreSeptember 2021 -Garden City , New York According to publicly available records Mark Sam Kolta , a stockbroker who formerly worked for National Securities Corp. and who is currently registered with Worden Capital Management, disclose…
read moreAugust 2021- Kings Park, NY The FINRA records of Bryon E. Martinsen, a stock broker who is currently employed by Centaurus Financial disclose 3 pending customer disputes, 7 prior customer disputes , a termination from…
read moreJuly 2021- Boca Raton, FL We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and…
read moreJuly 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…
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 moreApril 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…
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