NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…
read moreAugust 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin, a stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…
read moreSeptember 2019 -Ft. Worth, Texas The FINRA records of Timothy D. Walsh , a broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…
read moreApril 2018 The FINRA records of Park Avenue Securities , a registered brokerage firm headquartered in New York , disclose 12 prior regulatory events and one pending regulatory matter. The Financial Industry Regulatory…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…
read moreFebruary 2019-Stuart, Florida According to public records, Christopher D. SInkula (CRD#2001512)) a stockbroker who is currently employed by Janney Montgomery Scott, discloses 2 pending customer disputes and 9 prior customer disputes that have…
read moreApril 2017-Salt Lake City, UT An all public, three member FINRA arbitration panel ordered Wilbanks Securities to pay a former customer compensatory damages of $536,720 together with a like amount…
read moreApril 2017-Shawnee, KS The FINRA records of Daniel C. Stewart , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreApril 2017-Houston, Texas According to publicly available records Christopher D. Gammon , (CRD# 2344523) , a stockbroker who is currently registered with IMS Securities discloses two pending and two prior final customer disputes. The Financial Industry Regulatory Authority…
read more