Jeffrey G. Meyers Investigation November 2021- Overland Park, KS According to publicly available records, Cetera Advisor Networks financial advisor Jeffrey G. Meyers, discloses a pending customer dispute and 5 prior customer…
read moreJoseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz , a stockbroker who is currently registered with DAI Securities, disclose 3 currently pending customer disputes…
read moreGuilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records, Guilford Nergard, a currently unregistered financial advisor who previously was employed by Raymond James discloses a regulatory event ,…
read moreEladio Santiago Investigation November 2021- Fulton, MD According to publicly available records Eladio Arturo Santiago, a broker with Cambridge Investment Research broker discloses 2 customer disputes. The Financial Industry Regulatory Authority…
read moreRichard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services, discloses a settled customer dispute and a pending customer…
read moreJohn Swon IV Investigation November 2021- Bloomington, MN The FINRA records of John Swon, IV , a former financial advisor who was last employed by Royal Alliance Associates, Inc., disclose a…
read moreNovember 2021- New York, NY According to publicly available records, William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…
read moreAustin Dutton Investigation November 2021–Doylestown, PA The FINRA records of Austin R. Dutton, Jr. , a stock broker who was previously employed by Newbridge Securities and who is currently employed by American…
read moreMaxim Beliakov Investigation November 2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group discloses a regulatory suspension. The…
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