April 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad, a former stockbroker who was last employed by First Allied Securities, disclose a prior regulatory event and a…
read moreApril 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…
read moreApril 2018 Investors who have suffered losses on investments in the Triloma EIG Energy Income Fund or the Triloma Energy Income Fund EIG Term 1, may be able to recover…
read moreApril 2018-Memphis, TN John Sherman Jumper, 52, of Memphis, Tennessee was indicted by a federal grand jury for embezzling $5.7 million from a pension plan for the employees of Snowshoe…
read moreApril 2018 -Boca Raton, FL According to FINRA records, John Eugene Egan , a stockbroker who is currently employed by Newbridge Securities Corp., disclose a prior regulatory event, a pending customer dispute…
read moreApril 2018 -Boca Raton, FL-Atlanta, GA According to FINRA records, Stacy Cheney-Jamison , a currently unregistered stockbroker who formerly was employed by CUNA Brokerage Services, disclose a pending customer dispute. The Financial…
read moreApril 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain , a currently unregistered stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…
read moreJuly 2019 -Wagoner, OK According to FINRA records, William David Lancaster , a stockbroker who formerly was employed by Edward Jones, disclose a prior regulatory investigation, a prior customer dispute, a and…
read moreApril 2018 -Dallas, Texas According to publicly available records James (Jim) Williard Clark , a stockbroker who currently is employed by Worth Financial Group, disclose 4 prior regulatory issues, and 2 arbitration awards…
read more