Jason R. Jaynes Investigation November 2021-Plano, TX According to publicly available records Jason R. Jaynes , a stockbroker who was previously registered with Merrill Lynch, discloses a pending customer dispute which is…
read moreAegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…
read moreLawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records Lawrence B. Goldstein (CRD#2282699), a former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…
read moreGregory F. Estes Investigation July 2021 -San Angelo, TX The FINRA records of Gregory F. Estes , a stockbroker who is not currently registered with any broker dealer, and who was last…
read moreCurt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard , a stockbroker who formerly worked for Edward Jones and who is currently registered with Level Four Financial,…
read moreBrad Brooks Investigation November 2021- Addison, Texas The FINRA records of Brad C. Brooks , a broker who is employed by Titan Securities disclose a currently pending regulatory investigation, 6 prior final customer…
read moreBill Burks Investigation November 2021, Flower Mound, TX According to publicly available records William “Bill” Burks II , (CRD# 2944992) , a stockbroker who is registered with Centaurus Financial, discloses 3 pending customer…
read moreJoseph A. Lianzo Investigation November 2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered and who was last employed by SW Financial…
read moreDavid Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…
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