May 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below) from…
read moreJune 2017- San Antonio, Texas According to publicly available records Gary C. Haack (CRD#2796834) , a stockbroker who currently is employed by Corecap Investments , discloses 2 prior customer disputes. The Financial Industry Regulatory…
read moreMay 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) , a stockbroker who was previously registered with Investors Capital Corp. discloses two prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreMay 2017- El Segundo, CA The FINRA records of Hemant Kathuria , a stockbroker who is currently employed by Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…
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 moreMay 2017-Las Cruces, NM The FINRA records of Jeffrey R. Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…
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 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…
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