April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) , a stockbroker who is currently not registered and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…
read moreApril 2017- Daytona Beach, FL The FINRA records of Franklin Reynolds, (CRD #1366983) a stockbroker who is currently registered with The Strategic Financial Alliance disclose a customer dispute that was settled. The Financial Industry…
read moreApril 2017-Irvine, CA According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) , a stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp , discloses two final regulatory…
read moreApril 2017- Miami, FL The FINRA records of Charles M. McInnis (CRD # 1321666) , a stockbroker who was previously employed by Cambridge Investment Research, Inc. disclose 3 final regulatory events, 3 customer disputes that are…
read moreUPDATE February 2019-In December FINRA named Reyes in a complaint alleging that he made fraudulent representations and omissions of material fact in connection with the sale of Regulation D securities.…
read moreApril 2017- New York The FINRA records of Demitrios Hallas , a former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…
read moreApril 2017- San Antonio, Texas The FINRA records of German Ricardo Mora , a former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…
read moreApril 2017- San Antonio, TX The U.S. Attorney’s Office for the Western District of Texas announced the arrest of three men who face federal charges for their alleged roles in…
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…
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