August 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 moreNovember 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl , a stock broker who was, until recently, employed by Wells Fargo Advisors Financial Network , disclose a pending customer dispute and…
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…
read moreMarch 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…
read moreJULY 2018 UPDATE-Stephenville, TX According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services discloses 6…
read moreMay 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 moreAPRIL 2018 UPDATE-$20M customer dispute disclosed by Bill Fenwick, See this for details. April 2017-Louisville, KY The FINRA records of William C. (Bill) Fenwick Jr. , a stockbroker who is currently registered with…
read moreSee this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…
read moreApril 2017-Stuart, NE The FINRA records of Scott V. Kaup , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…
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