June 2017-Delray Beach, FL The FINRA records of Christopher R. Hickman , a former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…
read moreMay 2017-Tampa, FL The FINRA records of William D. Byrd , a stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry…
read moreMay 2017-Garland, TX The FINRA records of Steven Earle Blanke , a stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…
read moreMay 2017-San Antonio, TX The FINRA records of Marie P. Goforth , a stockbroker who is currently employed by Capital Financial Service disclose 2 prior customer disputes and a termination from employment. The…
read moreMay 2017-Norman, OK The FINRA records of Billy Jack Cowan , a former stockbroker who is not currently registered disclose a regulatory event, 2 prior customer disputes, 2 terminations from employment and 8…
read moreMAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…
read moreMarch 2017 The U.S. Securities and Exchange Commission announced the filing of a complaint against Florida based LottoNet Operating Corp. , its CEO David Gray and Joseph A. Vitale, a…
read moreFebruary 2018 update. Link to Rafal’s official FINRA record which discloses 3 final regulatory events, one final criminal proceeding, a customer dispute and a termination from employment. The U.S. Attorney’s Office for…
read moreApril 2017-Williamsburg, VA The FINRA records of Terrell Calvin Lady , a stockbroker who is currently employed by DFPG Investments disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
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