July 2020, New York, NY According to publicly available records John Calardo (CRD# 6063938) , a currently unregistered stockbroker who previously registered with Four Points Capital Partners & Worden Capital Management,…
read moreJuly 2021- Leander, TX According to publicly available records, Randall H. Fields, a registered investment advisor last employed by Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…
read moreJuly 2021- Boca Raton, FL We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and…
read moreCoral Gables, Florida According to FINRA records, James P. Scullin , a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…
read moreJuly 2021- Conroe, TX We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…
read moreJuly 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…
read moreAugust 2021-New York, NY According to publicly available records Jason Andrew Wilk , a former stockbroker who is not currently registered and who was last employed by Worden Capital Management ,…
read moreJuly 2021- Dallas, TX According to publicly available records, Constantinos G. Maniatis, a financial advisor previously with Morgan Stanley, discloses a regulatory event and a termination from employment. The Financial…
read moreJuly 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr. (CRD#500214), a former stockbroker who last worked for B.B. Graham & Company, Inc., has been permanently barred…
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