December 2020– Bristol, TN The FINRA records of Peter David Holler , a stock broker who was last employed by Securities Service Network , disclose six final customer disputes involving the allegedly fraudulent Woodbridge…
read moreDecember 2020-Amarillo, Texas According to a press release from the Department of Justice, Northern District of Texas, Heather M. Cooper, 40 , a former banker with FirstCapital Bank of Texas…
read moreDecember 2020-Austin, Texas The Texas State Securities Board (TSSB) announced that they have denied the application for registration of Lyle Boudreaux due to unsuitable trading in Leveraged Exchange Traded Funds…
read moreDecember 2020- Holbrook, NY According to publicly available records Jeffrey Alan Blutstein (CRD#1398688), a former stockbroker who last worked for American Portfolios Financial Services, discloses a regulatory event and a…
read moreDecember 2020-Spring, TX According to publicly available records, former Allstate Financial Services, Inc. financial advisor Charles Don Burchard has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…
read moreDecember 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) , a former stockbroker who is currently unregistered who worked for Waddell & Reed, discloses a regulatory…
read moreNovember 2020- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreNovember 2020- Dallas, TX ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE According to Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial…
read moreNovember 2020- Red Bank, NJ According to publicly available records Johnny Guan (CRD#5711977), a stockbroker employed with Aegis Capital discloses two settled customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
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